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 |
|---|---|---|---|---|---|---|---|---|
| Gary Gustave Benson | 1182211 | 11 | 01/02/2013 | Customer Dispute | Settled | $483,724.00 | $0.00 | See FINRA Report |
| Gary Gustave Benson | 1182211 | 11 | 12/10/2012 | Customer Dispute | Settled | $348,500.00 | $0.00 | See FINRA Report |
| Frank Wong | 1093400 | 1 | 12/03/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Steven Rothstein | 1084659 | 7 | 11/14/2012 | Customer Dispute | Denied | $45,000.00 | $0.00 | See FINRA Report |
| Mark Steven Rothstein | 1084659 | 7 | 11/14/2012 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Michael Anthony Tannery | 1538345 | 5 | 10/10/2012 | Customer Dispute | Denied | $5,089.00 | $0.00 | See FINRA Report |
| John Kacheong Lee | 2948622 | 9 | 09/18/2012 | Customer Dispute | Settled | $281,132.00 | $0.00 | See FINRA Report |
| Joshua Cory Koehnen | 4551444 | 4 | 09/17/2012 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| John Kacheong Lee | 2948622 | 9 | 08/13/2012 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Cynthia Mary Couyoumjian | 1456630 | 17 | 07/26/2012 | Customer Dispute | Settled | $122,400.00 | $0.00 | See FINRA Report |