Our Staff has compiled our research into a database of FINRA Broker Disclosures for Independent Financial 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 |
|---|---|---|---|---|---|---|---|---|
| Richard Randy Mireles | 5288651 | 1 | 09/13/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leticia Hewko | 6211451 | 2 | 06/25/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Joseph Monahan | 1546712 | 5 | 06/19/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Ronald Heller Appler | 2499039 | 3 | 06/07/2024 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Charles Raymond Weldon | 1030659 | 5 | 06/05/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Darrell Dominic Delphen | 1603277 | 3 | 05/24/2024 | Customer Dispute | Pending | $59,000.00 | $0.00 | See FINRA Report |
| Charles Kenneth Wareham | 2193537 | 3 | 03/12/2024 | Customer Dispute | Pending | $5,000.01 | $0.00 | See FINRA Report |
| Christopher Thomas Vines | 5011145 | 5 | 02/13/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Suzette Lawrence | 2651541 | 3 | 01/24/2024 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Terry William Griffith | 4937497 | 2 | 12/29/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |