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 | 09/25/2017 | Customer Dispute | Settled | $317,446.00 | $0.00 | See FINRA Report |
| Gary Gustave Benson | 1182211 | 11 | 08/22/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jerry Ernest Tuma | 730104 | 5 | 04/12/2017 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| James A Franklin | 4799613 | 2 | 04/07/2017 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Herbert Suekichi Shiraishi | 1835557 | 5 | 01/23/2017 | Customer Dispute | Denied | $7,708.00 | $0.00 | See FINRA Report |
| Herbert Suekichi Shiraishi | 1835557 | 5 | 01/19/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ernest James Cox | 4326252 | 4 | 11/30/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 11/02/2016 | Customer Dispute | Settled | $244,132.00 | $0.00 | See FINRA Report |
| James Edward Bashaw | 1251491 | 7 | 09/02/2016 | Customer Dispute | Settled | $3,800,000.00 | $0.00 | See FINRA Report |
| Ernest James Cox | 4326252 | 4 | 07/15/2016 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |