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 George Thomas | 1817420 | 11 | 06/01/2010 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Bryan Paul Hopkins | 4489174 | 2 | 05/28/2010 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Michael Laurence Digaetano | 2378300 | 2 | 05/25/2010 | Customer Dispute | Settled | $1,926,310.00 | $0.00 | See FINRA Report |
| Jack William Ellison | 2584997 | 3 | 03/11/2010 | Customer Dispute | Settled | $770,000.00 | $0.00 | See FINRA Report |
| Cuong Tu Thuyen | 4252613 | 1 | 01/04/2010 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Alexander Earl Lessard | 2978066 | 2 | 01/04/2010 | Customer Dispute | Settled | $875,000.00 | $0.00 | See FINRA Report |
| Jerry Ernest Tuma | 730104 | 5 | 11/30/2009 | Customer Dispute | Settled | $456,000.00 | $0.00 | See FINRA Report |
| Kelly H Clyde | 4825839 | 1 | 08/20/2009 | Customer Dispute | Settled | $418,718.00 | $0.00 | See FINRA Report |
| Catherine Leigh Brown | 1332036 | 4 | 07/29/2009 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Joshua Cory Koehnen | 4551444 | 4 | 07/13/2009 | Customer Dispute | Settled | $632,000.00 | $0.00 | See FINRA Report |