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 Steven Rothstein | 1084659 | 7 | 11/14/2012 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Michael Anthony Tannery | 1538345 | 5 | 10/10/2012 | Customer Dispute | Denied | $5,089.00 | $0.00 | See FINRA Report |
| Daniel Tuan Kien Loy | 3029654 | 5 | 06/10/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dan Eugene Sanders | 1785159 | 4 | 03/02/2012 | Customer Dispute | Denied | $6,039.15 | $0.00 | See FINRA Report |
| Philip R Johnson | 3179288 | 2 | 01/27/2011 | Customer Dispute | Denied | $20,327.80 | $0.00 | See FINRA Report |
| James Michael Noto | 1030904 | 8 | 12/02/2010 | Customer Dispute | Denied | $46,500.00 | $0.00 | See FINRA Report |
| Gary Gustave Benson | 1182211 | 11 | 09/03/2010 | Customer Dispute | Denied | $503,270.00 | $0.00 | See FINRA Report |
| Jim Micheal McElravy | 4540744 | 6 | 03/23/2009 | Customer Dispute | Denied | $147,524.00 | $0.00 | See FINRA Report |
| James Luke Flanagan | 1812317 | 2 | 02/04/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Kacheong Lee | 2948622 | 9 | 01/10/2009 | Customer Dispute | Denied | $6,200.00 | $0.00 | See FINRA Report |