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 |
|---|---|---|---|---|---|---|---|---|
| Patricia Carol Thom | 1192935 | 13 | 02/29/2012 | Customer Dispute | Settled | $73,822.70 | $0.00 | See FINRA Report |
| John Kacheong Lee | 2948622 | 9 | 02/16/2012 | Customer Dispute | Settled | $552,000.00 | $0.00 | See FINRA Report |
| Gregory Lloyd Bernhardt | 703622 | 2 | 02/15/2012 | Customer Dispute | Settled | $600,200.00 | $0.00 | See FINRA Report |
| Mary C Huntley | 4552127 | 1 | 02/14/2012 | Customer Dispute | Settled | $6,500.00 | $0.00 | See FINRA Report |
| William Patrick Brennan | 3090544 | 4 | 02/08/2012 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| John Kacheong Lee | 2948622 | 9 | 02/07/2012 | Customer Dispute | Settled | $296,000.00 | $0.00 | See FINRA Report |
| Jack William Ellison | 2584997 | 3 | 02/07/2012 | Customer Dispute | Settled | $280,000.00 | $0.00 | See FINRA Report |
| Richard George Thomas | 1817420 | 11 | 02/06/2012 | Customer Dispute | Settled | $747,250.00 | $0.00 | See FINRA Report |
| Richard Edmund Pavey | 1449203 | 1 | 01/16/2012 | Customer Dispute | Settled | $16,600.00 | $0.00 | See FINRA Report |
| David Karl Hansch | 1020500 | 1 | 12/20/2011 | Customer Dispute | Settled | $697,992.00 | $0.00 | See FINRA Report |