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 |
|---|---|---|---|---|---|---|---|---|
| John Kacheong Lee | 2948622 | 9 | 07/07/2011 | Customer Dispute | Settled | $801,088.00 | $0.00 | See FINRA Report |
| Steven Edward Lebaron | 1353793 | 1 | 05/20/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Wayne Smith | 1465186 | 4 | 05/13/2011 | Customer Dispute | Closed-No Action | $23,000.00 | $0.00 | See FINRA Report |
| Joshua Cory Koehnen | 4551444 | 4 | 04/25/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rick Alan Willoughby | 1238458 | 2 | 04/08/2011 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Joshua Cory Koehnen | 4551444 | 4 | 02/25/2011 | Customer Dispute | Settled | $675,000.00 | $0.00 | See FINRA Report |
| William Patrick Brennan | 3090544 | 4 | 02/25/2011 | Customer Dispute | Settled | $675,000.00 | $0.00 | See FINRA Report |
| Philip R Johnson | 3179288 | 2 | 01/27/2011 | Customer Dispute | Denied | $20,327.80 | $0.00 | See FINRA Report |
| David Gene Elhoff | 855864 | 5 | 01/26/2011 | Customer Dispute | Settled | $340,000.00 | $0.00 | See FINRA Report |
| Denis Michael O'Brien | 716498 | 5 | 01/06/2011 | Customer Dispute | Settled | $114,345.00 | $0.00 | See FINRA Report |