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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Reed Nesseth | 1983482 | 4 | 01/07/2010 | Customer Dispute | Closed-No Action | $525,000.00 | $0.00 | See FINRA Report |
| Herbert Suekichi Shiraishi | 1835557 | 5 | 11/06/2009 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Peter Morand | 728191 | 7 | 09/08/2009 | Customer Dispute | Closed-No Action | $8,100.00 | $0.00 | See FINRA Report |
| Cornelius Francis Dempsey | 1867743 | 3 | 03/11/2009 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Cornelius Francis Dempsey | 1867743 | 3 | 03/11/2009 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Michael Edward Moss | 1054365 | 2 | 01/22/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gregory John Chachas | 1269551 | 3 | 11/28/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stewart Ginn | 4503197 | 7 | 06/25/2007 | Customer Dispute | Closed-No Action | $8,800.00 | $0.00 | See FINRA Report |
| Joseph Blaine Dixon | 1063670 | 1 | 03/30/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Lawrence Jin Huh | 2542226 | 2 | 02/24/2005 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |