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 |
|---|---|---|---|---|---|---|---|---|
| Joyce An Thomas | 2713664 | 6 | 10/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Julie Shen | 5509300 | 1 | 10/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shao-Tsung Tseng | 5704440 | 1 | 10/01/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Tuan Kien Loy | 3029654 | 5 | 09/29/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Edwin Courtney McClure | 2392527 | 1 | 07/01/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy Richard Yee | 2492578 | 2 | 05/26/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lars Lael Ragan | 4186673 | 2 | 02/12/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joshua Warren Tschirgi | 5954263 | 1 | 12/18/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Frederick Allan Gray | 3174576 | 2 | 12/15/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Edward Bashaw | 1251491 | 7 | 09/24/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |