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 |
|---|---|---|---|---|---|---|---|---|
| Roberto Luis Maldonado | 5093698 | 36 | 06/08/2018 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 06/08/2018 | Customer Dispute | Withdrawn | $22,055.30 | $0.00 | See FINRA Report |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 |
| Roberto Luis Maldonado | 5093698 | 36 | 04/30/2018 | Customer Dispute | Settled | $704,000.00 | $0.00 | See FINRA Report |
| Cynthia Mary Couyoumjian | 1456630 | 17 | 03/26/2018 | Customer Dispute | Settled | $13,875.00 | $0.00 | See FINRA Report |
| Leticia Hewko | 6211451 | 2 | 03/26/2018 | Customer Dispute | Settled | $13,875.00 | $0.00 | See FINRA Report |
| Ronald Heller Appler | 2499039 | 3 | 03/14/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 01/30/2018 | Customer Dispute | Settled | $137,352.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 01/17/2018 | Customer Dispute | Settled | $1,079,000.00 | $0.00 | See FINRA Report |
| Julian E Munoz | 4773991 | 5 | 12/21/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |