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 | 07/24/2002 | Customer Dispute | Settled | $8,887.00 | $0.00 | See FINRA Report |
| Michael Anthony Tannery | 1538345 | 5 | 05/22/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Patricia Carol Thom | 1192935 | 13 | 05/15/2002 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Michael Edward Moss | 1054365 | 2 | 02/11/2002 | Customer Dispute | Denied | $94,784.10 | $0.00 | See FINRA Report |
| Theodore Lum | 1016779 | 3 | 02/04/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Shimshon Plotkin | 2431863 | 11 | 01/04/2002 | Customer Dispute | Award / Judgment | $411,404.00 | $55,391.10 | See FINRA Report |
| Shimshon Plotkin | 2431863 | 11 | 11/16/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Gilbert Alan Cardillo | 1110960 | 3 | 11/14/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Theodore Lum | 1016779 | 3 | 09/19/2001 | Customer Dispute | Denied | $5,600.00 | $0.00 | See FINRA Report |
| Patricia Carol Thom | 1192935 | 13 | 08/13/2001 | Customer Dispute | Settled | $58,000.00 | $0.00 | See FINRA Report |