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FINRA Broker Disclosures for Independent Financial Group, LLC

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.

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Displaying 331-340 out of 413 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Craig Clark Spanton2945050211/23/2004Customer DisputeDenied$7,730.28$0.00See FINRA Report
Jeffrey Peter Morand728191711/11/2004Customer DisputeDenied$25,836.30$0.00See FINRA Report
Paul Louis Knoblich1447147108/25/2004Customer DisputeSettled$13,414.30$0.00See FINRA Report
Daniel Tuan Kien Loy3029654508/24/2004Customer DisputeDenied$19,000.00$0.00See FINRA Report
John Eric Carlson1426893308/12/2004Customer DisputeSettled$367,900.00$0.00See FINRA Report
Ronald Kenneth Stack2016842207/24/2004Customer DisputeSettled$9,588.00$0.00See FINRA Report
Darrell Dominic Delphen1603277306/01/2004Customer DisputeDenied$40,000.00$0.00See FINRA Report
Robert Holmes Gunning17820161404/30/2004Customer DisputeDenied$0.00$0.00See FINRA Report
Ronald Kenneth Stack2016842203/08/2004Customer DisputeSettled$200,000.00$0.00See FINRA Report
Charles Kenneth Wareham2193537302/12/2004Customer DisputeSettled$23,518.50$0.00See FINRA Report

413 Results

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