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 Brian Franklin | 1430877 | 2 | 12/09/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cynthia Mary Couyoumjian | 1456630 | 17 | 11/21/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Shimshon Plotkin | 2431863 | 11 | 10/11/2002 | Customer Dispute | Award / Judgment | $586,189.00 | $25,000.00 | See FINRA Report |
| Frank Augustine Cuenca | 2143454 | 2 | 09/27/2002 | Customer Dispute | Award / Judgment | $151,959.00 | $23,927.60 | See FINRA Report |
| Deepen Arvind Modi | 2573250 | 5 | 09/12/2002 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Patricia Carol Thom | 1192935 | 13 | 09/11/2002 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Michael Louis Schwartz | 1241969 | 1 | 09/03/2002 | Customer Dispute | Closed-No Action | $38,694.00 | $0.00 | See FINRA Report |
| Bruce Phillips Stone | 842768 | 1 | 08/14/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey William Senglaub | 1004471 | 7 | 08/05/2002 | Customer Dispute | Denied | $7,447.00 | $0.00 | See FINRA Report |
| Ronald Allen Schley | 2210699 | 2 | 07/29/2002 | Customer Dispute | Denied | $39,968.60 | $0.00 | See FINRA Report |