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 Eric Carlson | 1426893 | 3 | 01/27/2004 | Customer Dispute | Settled | $458,300.00 | $0.00 | See FINRA Report |
| Jeffrey William Senglaub | 1004471 | 7 | 12/30/2003 | Customer Dispute | Settled | $260,000.00 | $0.00 | See FINRA Report |
| Charles Kenneth Wareham | 2193537 | 3 | 09/30/2003 | Customer Dispute | Denied | $17,550.00 | $0.00 | See FINRA Report |
| Lawrence Massey Jones | 261470 | 4 | 09/18/2003 | Customer Dispute | Settled | $102,532.00 | $0.00 | See FINRA Report |
| Thomas Francis Kehoe | 2891711 | 1 | 08/12/2003 | Customer Dispute | Denied | $10,719.70 | $0.00 | See FINRA Report |
| Shimshon Plotkin | 2431863 | 11 | 07/28/2003 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Jeffrey Peter Morand | 728191 | 7 | 07/22/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Raymond Frank Sole | 2215439 | 2 | 06/27/2003 | Customer Dispute | Denied | $7,654.50 | $0.00 | See FINRA Report |
| Mark John Gieser | 1992184 | 5 | 06/03/2003 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Mark John Gieser | 1992184 | 5 | 04/28/2003 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |