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 |
|---|---|---|---|---|---|---|---|---|
| Jerry Ernest Tuma | 730104 | 5 | 11/30/2009 | Customer Dispute | Settled | $456,000.00 | $0.00 | See FINRA Report |
| Herbert Suekichi Shiraishi | 1835557 | 5 | 11/06/2009 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Peter Morand | 728191 | 7 | 09/08/2009 | Customer Dispute | Closed-No Action | $8,100.00 | $0.00 | See FINRA Report |
| Kelly H Clyde | 4825839 | 1 | 08/20/2009 | Customer Dispute | Settled | $418,718.00 | $0.00 | See FINRA Report |
| Catherine Leigh Brown | 1332036 | 4 | 07/29/2009 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Joshua Cory Koehnen | 4551444 | 4 | 07/13/2009 | Customer Dispute | Settled | $632,000.00 | $0.00 | See FINRA Report |
| Jeffrey William Senglaub | 1004471 | 7 | 06/22/2009 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Matthew John Mundy | 4704753 | 4 | 04/09/2009 | Customer Dispute | Settled | $7,069.71 | $0.00 | See FINRA Report |
| Scott Douglas Roetzel | 2339396 | 1 | 03/31/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jim Micheal McElravy | 4540744 | 6 | 03/23/2009 | Customer Dispute | Denied | $147,524.00 | $0.00 | See FINRA Report |