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 |
|---|---|---|---|---|---|---|---|---|
| Williams Keen Butcher | 2098675 | 2 | 02/05/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| James Petrizzo | 2140799 | 3 | 01/21/2020 | Customer Dispute | Settled | $35,500.00 | $0.00 | See FINRA Report |
| Robert Wesley Turley | 1519293 | 4 | 12/19/2019 | Customer Dispute | Settled | $102,000.00 | $0.00 | See FINRA Report |
| Dale Jerome Immekus | 5309353 | 2 | 11/08/2019 | Customer Dispute | Settled | $295,186.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 10/24/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Chih-Tao Ma | 4151461 | 2 | 09/10/2019 | Customer Dispute | Settled | $99,999.00 | $0.00 | See FINRA Report |
| Kenneth Paul Guerra | 1337062 | 3 | 09/05/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 08/27/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 08/21/2019 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 08/01/2019 | Customer Dispute | Settled | $1,590,000.00 | $0.00 | See FINRA Report |