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 |
|---|---|---|---|---|---|---|---|---|
| Keith Douglas Schlottman | 4119244 | 1 | 12/05/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Julian E Munoz | 4773991 | 5 | 11/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Richard Yee | 2492578 | 2 | 01/13/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Dennen | 3239786 | 1 | 11/13/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Andrew Moskoff | 5103775 | 2 | 05/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Denis Michael O'Brien | 716498 | 5 | 01/08/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kathleen Elizabeth Bing | 1703963 | 1 | 10/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Buck | 5629964 | 2 | 03/13/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael Noto | 1030904 | 8 | 08/26/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alexander Earl Lessard | 2978066 | 2 | 08/08/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |