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 |
|---|---|---|---|---|---|---|---|---|
| Bryce J Jones | 6361728 | 3 | 07/10/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Raymond Mata | 4155257 | 2 | 12/01/2014 | Customer Dispute | Denied | $77,672.40 | $0.00 | See FINRA Report |
| Matthew John Mundy | 4704753 | 4 | 11/12/2014 | Customer Dispute | Denied | $33,489.00 | $0.00 | See FINRA Report |
| Matthew Hugh Hurley | 1682165 | 6 | 10/30/2014 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Haynes Lentz Kendall | 1274737 | 3 | 03/03/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Steven Rothstein | 1084659 | 7 | 01/28/2014 | Customer Dispute | Denied | $28,426.00 | $0.00 | See FINRA Report |
| Nancy Yen Chang | 4917714 | 1 | 09/09/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jay William Eng | 2241817 | 5 | 09/03/2013 | Customer Dispute | Denied | $8,333.50 | $0.00 | See FINRA Report |
| Dale Jerome Immekus | 5309353 | 2 | 08/07/2013 | Customer Dispute | Denied | $9,796.13 | $0.00 | See FINRA Report |
| Mark Steven Rothstein | 1084659 | 7 | 11/14/2012 | Customer Dispute | Denied | $45,000.00 | $0.00 | See FINRA Report |