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 |
|---|---|---|---|---|---|---|---|---|
| Yong Seok Chang | 4440739 | 4 | 02/06/2023 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| Shimshon Plotkin | 2431863 | 11 | 01/30/2023 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Joyce An Thomas | 2713664 | 6 | 01/19/2023 | Customer Dispute | Settled | $526,800.00 | $0.00 | See FINRA Report |
| Syauching Hung | 4752296 | 3 | 01/19/2023 | Customer Dispute | Settled | $552,500.00 | $0.00 | See FINRA Report |
| Paul Wayne Jones | 2920042 | 4 | 01/18/2023 | Customer Dispute | Settled | $129,000.00 | $0.00 | See FINRA Report |
| Stewart Ginn | 4503197 | 7 | 12/06/2022 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| John Charles Dixon | 4239339 | 2 | 11/08/2022 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Gary Gustave Benson | 1182211 | 11 | 10/13/2022 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Christy Joy Earhart | 3236699 | 1 | 09/21/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Tuan Kien Loy | 3029654 | 5 | 04/13/2022 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |