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 | 11/23/2004 | Customer Dispute | Denied | $7,730.28 | $0.00 | See FINRA Report |
| Jeffrey Peter Morand | 728191 | 7 | 11/11/2004 | Customer Dispute | Denied | $25,836.30 | $0.00 | See FINRA Report |
| Daniel Tuan Kien Loy | 3029654 | 5 | 08/24/2004 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
| Darrell Dominic Delphen | 1603277 | 3 | 06/01/2004 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Robert Holmes Gunning | 1782016 | 14 | 04/30/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Kenneth Wareham | 2193537 | 3 | 09/30/2003 | Customer Dispute | Denied | $17,550.00 | $0.00 | See FINRA Report |
| Thomas Francis Kehoe | 2891711 | 1 | 08/12/2003 | Customer Dispute | Denied | $10,719.70 | $0.00 | See FINRA Report |
| Shimshon Plotkin | 2431863 | 11 | 07/28/2003 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Jeffrey Peter Morand | 728191 | 7 | 07/22/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Raymond Frank Sole | 2215439 | 2 | 06/27/2003 | Customer Dispute | Denied | $7,654.50 | $0.00 | See FINRA Report |