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 |
|---|---|---|---|---|---|---|---|---|
| Chih-Tao Ma | 4151461 | 2 | 09/10/2019 | Customer Dispute | Settled | $99,999.00 | $0.00 | See FINRA Report |
| Kenneth Paul Guerra | 1337062 | 3 | 09/05/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 08/27/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 08/21/2019 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 08/01/2019 | Customer Dispute | Settled | $1,590,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 08/01/2019 | Customer Dispute | Settled | $345,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 07/31/2019 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 07/30/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Shimshon Plotkin | 2431863 | 11 | 06/21/2019 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| John Charles Dixon | 4239339 | 2 | 06/11/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |