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 |
|---|---|---|---|---|---|---|---|---|
| Richard Walter Bolek | 2142497 | 1 | 07/23/2012 | Customer Dispute | Settled | $438,230.00 | $0.00 | See FINRA Report |
| Paul Louis Knoblich | 1447147 | 5 | 07/20/2012 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Jack William Ellison | 2584997 | 3 | 07/09/2012 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Gregory William Ricker | 2545035 | 4 | 06/09/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald Allen Schley | 2210699 | 2 | 06/04/2012 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Sean Hooman Agahi | 2448745 | 7 | 05/18/2012 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| James Edward Bashaw | 1251491 | 7 | 04/26/2012 | Customer Dispute | Settled | $20,804.30 | $0.00 | See FINRA Report |
| Lawrence Massey Jones | 261470 | 4 | 04/19/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Kacheong Lee | 2948622 | 9 | 03/16/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard George Thomas | 1817420 | 11 | 03/12/2012 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |