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 |
|---|---|---|---|---|---|---|---|---|
| Mark John Gieser | 1992184 | 5 | 04/19/2003 | Customer Dispute | Settled | $44,000.00 | $0.00 | See FINRA Report |
| Marcus Terrell Henderson | 2065755 | 2 | 04/04/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Hugh Hurley | 1682165 | 6 | 04/04/2003 | Customer Dispute | Denied | $81,000.00 | $0.00 | See FINRA Report |
| James Michael Noto | 1030904 | 8 | 03/18/2003 | Customer Dispute | Denied | $16,697.00 | $0.00 | See FINRA Report |
| Mark John Gieser | 1992184 | 5 | 03/17/2003 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Patricia Carol Thom | 1192935 | 13 | 02/21/2003 | Customer Dispute | Denied | $51,686.00 | $0.00 | See FINRA Report |
| Mark John Gieser | 1992184 | 5 | 02/13/2003 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Raymond Frank Sole | 2215439 | 2 | 02/10/2003 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Robert Holmes Gunning | 1782016 | 14 | 01/06/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ian Arrowsmith | 2730531 | 1 | 12/26/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |