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 |
|---|---|---|---|---|---|---|---|---|
| David Karl Hansch | 1020500 | 1 | 12/20/2011 | Customer Dispute | Settled | $697,992.00 | $0.00 | See FINRA Report |
| Lawrence Anthony Napolitano | 4921500 | 3 | 12/07/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brian James Zimmerman | 2401501 | 5 | 10/25/2011 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| William Patrick Brennan | 3090544 | 4 | 09/23/2011 | Customer Dispute | Settled | $959,233.00 | $0.00 | See FINRA Report |
| Larry Jerome Steckler | 2621508 | 2 | 09/16/2011 | Customer Dispute | Settled | $143,110.00 | $0.00 | See FINRA Report |
| Gary Gustave Benson | 1182211 | 11 | 09/01/2011 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Gregory Lloyd Bernhardt | 703622 | 2 | 08/29/2011 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Paul Wayne Jones | 2920042 | 4 | 08/18/2011 | Customer Dispute | Settled | $552,638.00 | $0.00 | See FINRA Report |
| Matthew John Mundy | 4704753 | 4 | 08/14/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Deepen Arvind Modi | 2573250 | 5 | 08/12/2011 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |