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 |
|---|---|---|---|---|---|---|---|---|
| Scott Peter Johnson | 2136953 | 1 | 10/19/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Wenjinn James Chang | 4536266 | 2 | 10/15/2018 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 10/02/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 09/14/2018 | Customer Dispute | Settled | $810,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 09/05/2018 | Customer Dispute | Withdrawn | $245,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 08/08/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 07/24/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Reed Nesseth | 1983482 | 4 | 06/20/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 06/11/2018 | Customer Dispute | Settled | $674,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 06/11/2018 | Customer Dispute | Settled | $6,400,000.00 | $0.00 | See FINRA Report |