{"id":11332,"date":"2024-02-05T17:05:20","date_gmt":"2024-02-05T22:05:20","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11332"},"modified":"2024-02-05T17:05:20","modified_gmt":"2024-02-05T22:05:20","slug":"sec-investigates-broker-garrett-moretz","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/sec-investigates-broker-garrett-moretz\/","title":{"rendered":"SEC Investigates Broker Garrett Moretz"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-11333 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/02\/Blog-Graphics5.png\" alt=\"Garrett Moretz (Garret Wayne Moretz CRD# 4086791) is a broker and investment advisor currently registered with Lifemark Securities Corp. (CRD# 16204) of Mooresville, NC. His previous employers include First Heartland Consultants, Inc. (CRD# 110377) and First Heartland Capital, Inc. (CRD#:32460), also of Mooresville, and Allegiant Asset Management, L.L.C. (CRD# 141047) of Miami, FL. He has been in the industry since 2000.\n\nThe US Securities &amp; Exchange Commission (SEC) is currently investigating Moretz following allegations of \u201ccertain provisions of federal securities laws,\u201d including Section 10(b) of the Exchange Act and Rule 10b-5. This section involves the misleading omissions and misrepresentation during the sale of securities. Garrett Moretz is cooperating with the investigation but denies the allegations of any wrongdoing. The investigation was filed on 5\/1\/2023 and is ongoing.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/02\/Blog-Graphics5.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/02\/Blog-Graphics5-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Garrett Moretz (Garret Wayne Moretz CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/4086791\" target=\"_blank\">4086791<\/a>) is a broker and investment advisor currently registered with Lifemark Securities Corp. (CRD# 16204) of Mooresville, NC. His previous employers include First Heartland Consultants, Inc. (CRD# 110377) and First Heartland Capital, Inc. (CRD#:32460), also of Mooresville, and Allegiant Asset Management, L.L.C. (CRD# 141047) of Miami, FL. He has been in the industry since 2000. <a href=\"https:\/\/www.silverlaw.com\/blog\/sec-investigates-broker-garrett-moretz\/#more-11332\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Garrett Moretz (Garret Wayne Moretz CRD# 4086791) is a broker and investment advisor currently registered with Lifemark Securities Corp. (CRD# 16204) of Mooresville, NC. His previous employers include First Heartland Consultants, Inc. (CRD# 110377) and First Heartland Capital, Inc. (CRD#:32460), also of Mooresville, and Allegiant Asset Management, L.L.C. (CRD# 141047) of Miami, FL. He has [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580],"tags":[],"class_list":["post-11332","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>SEC Investigates Broker Garrett Moretz &#8212; Securities Arbitration Lawyers Blog &#8212; February 5, 2024<\/title>\n<meta name=\"description\" content=\"Garret Moretz is a broker and investment advisor currently registered with Lifemark Securities Corp. of Mooresville, NC.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/sec-investigates-broker-garrett-moretz\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"SEC Investigates Broker Garrett Moretz &#8212; 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