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 |
|---|---|---|---|---|---|---|---|---|
| Paul Wayne Jones | 2920042 | 3 | 01/18/2023 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Stewart Ginn | 4503197 | 2 | 12/06/2022 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| John Charles Dixon | 4239339 | 2 | 11/08/2022 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Gary Gustave Benson | 1182211 | 11 | 10/13/2022 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Juan Carlos Sosa | 4059846 | 5 | 06/10/2022 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Daniel Tuan Kien Loy | 3029654 | 5 | 04/13/2022 | Customer Dispute | Final | $1,500,000.00 | $0.00 | See FINRA Report |
| Gary Gustave Benson | 1182211 | 11 | 04/13/2022 | Customer Dispute | Settled | $5,500.00 | $0.00 | See FINRA Report |
| Jeffrey Peter Morand | 728191 | 7 | 04/08/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Walter Charles Howard | 717601 | 1 | 03/17/2022 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Bryan Edward Mazza | 2292942 | 2 | 03/08/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |