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 |
---|---|---|---|---|---|---|---|---|
Craig Clark Spanton | 2945050 | 2 | 11/23/2004 | Customer Dispute | Denied | $7,730.28 | $0.00 | See FINRA Report |
Jeffrey Peter Morand | 728191 | 7 | 11/11/2004 | Customer Dispute | Denied | $25,836.30 | $0.00 | See FINRA Report |
Paul Louis Knoblich | 1447147 | 1 | 08/25/2004 | Customer Dispute | Settled | $13,414.30 | $0.00 | See FINRA Report |
Daniel Tuan Kien Loy | 3029654 | 5 | 08/24/2004 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
John Eric Carlson | 1426893 | 3 | 08/12/2004 | Customer Dispute | Settled | $367,900.00 | $0.00 | See FINRA Report |
Ronald Kenneth Stack | 2016842 | 2 | 07/24/2004 | Customer Dispute | Settled | $9,588.00 | $0.00 | See FINRA Report |
Darrell Dominic Delphen | 1603277 | 3 | 06/01/2004 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
Robert Holmes Gunning | 1782016 | 14 | 04/30/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Ronald Kenneth Stack | 2016842 | 2 | 03/08/2004 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
Charles Kenneth Wareham | 2193537 | 3 | 02/12/2004 | Customer Dispute | Settled | $23,518.50 | $0.00 | See FINRA Report |