Our Staff has compiled our research into a database of FINRA Broker Disclosures for American Independent Securities Group, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Ryan Shane Carlson | 4209072 | 1 | 03/29/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Dean Rolshoven | 1601679 | 4 | 11/14/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Tracee Alane Adams | 5858361 | 1 | 09/07/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Richard Cronin | 2256792 | 6 | 04/17/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sam Pieh | 1321892 | 10 | 04/03/2017 | Customer Dispute | Settled | $96,407.00 | $0.00 | See FINRA Report |
| Cyla Fromm-Minett | 2383836 | 1 | 03/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Charles Waller | 2800386 | 1 | 01/29/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Dean Rolshoven | 1601679 | 4 | 01/21/2016 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Eric Dean Rolshoven | 1601679 | 4 | 08/04/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Dean Rolshoven | 1601679 | 4 | 05/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |