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 Ronan Nielsen | 2814298 | 1 | 04/22/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patricia Carol Thom | 1192935 | 13 | 08/13/2001 | Customer Dispute | Settled | $58,000.00 | $0.00 | See FINRA Report |
| Patricia Carol Thom | 1192935 | 13 | 07/23/2001 | Customer Dispute | Settled | $515,000.00 | $0.00 | See FINRA Report |
| Patricia Carol Thom | 1192935 | 13 | 05/15/2001 | Customer Dispute | Settled | $239,000.00 | $0.00 | See FINRA Report |
| William Franklin Lemasters | 1724738 | 3 | 04/03/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patricia Carol Thom | 1192935 | 13 | 01/12/2001 | Customer Dispute | Settled | $12,970.00 | $0.00 | See FINRA Report |
| Patricia Carol Thom | 1192935 | 13 | 01/05/2001 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Mark Billings Ruleman | 1644845 | 3 | 11/01/2000 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Brian James Zimmerman | 2401501 | 5 | 05/08/2000 | Customer Dispute | Settled | $49,736.50 | $0.00 | See FINRA Report |
| Thomas Joseph Monahan | 1546712 | 4 | 06/18/1998 | Customer Dispute | Settled | $122,570.00 | $0.00 | See FINRA Report |