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 |
|---|---|---|---|---|---|---|---|---|
| Bryan Edward Mazza | 2292942 | 2 | 03/08/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Mark Angelo Militello | 4075608 | 1 | 03/24/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Herbert Suekichi Shiraishi | 1835557 | 5 | 05/14/2018 | Customer Dispute | Closed-No Action | $25,500.00 | $0.00 | See FINRA Report |
| Gary Gustave Benson | 1182211 | 11 | 08/22/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Herbert Suekichi Shiraishi | 1835557 | 5 | 01/19/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Lawrence Anthony Napolitano | 4921500 | 3 | 12/07/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Matthew John Mundy | 4704753 | 4 | 08/14/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Wayne Smith | 1465186 | 4 | 05/13/2011 | Customer Dispute | Closed-No Action | $23,000.00 | $0.00 | See FINRA Report |
| Wade Emanuel Gribaldo | 2808986 | 1 | 11/05/2010 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Kenneth Wayne Burkett | 2747448 | 2 | 10/04/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |