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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Hugh Hurley | 1682165 | 6 | 01/19/2016 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Shimshon Plotkin | 2431863 | 11 | 01/14/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Michael Noto | 1030904 | 8 | 10/29/2015 | Customer Dispute | Settled | $10,812.00 | $0.00 | See FINRA Report |
| Ernest James Cox | 4326252 | 4 | 09/28/2015 | Customer Dispute | Settled | $201,000.00 | $0.00 | See FINRA Report |
| William Patrick Brennan | 3090544 | 4 | 08/24/2015 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Scott Ryland MacHen | 4578808 | 1 | 08/04/2015 | Customer Dispute | Denied | $226,998.00 | $0.00 | See FINRA Report |
| Bryce J Jones | 6361728 | 3 | 07/10/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Raymond Weldon | 1030659 | 5 | 06/01/2015 | Customer Dispute | Settled | $335,000.00 | $0.00 | See FINRA Report |
| Gennaro Giacomo Savarese | 1085268 | 2 | 03/19/2015 | Customer Dispute | Award / Judgment | $223,988.00 | $57,500.00 | See FINRA Report |
| Hui Zhang | 5918387 | 5 | 03/06/2015 | Customer Dispute | Settled | $4,000.00 | $0.00 | See FINRA Report |