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 |
|---|---|---|---|---|---|---|---|---|
| Roberto Luis Maldonado | 5093698 | 36 | 03/06/2019 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 12/21/2018 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Jerry Ernest Tuma | 730104 | 5 | 12/17/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 12/11/2018 | Customer Dispute | Settled | $147,064.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 11/15/2018 | Customer Dispute | Settled | $425,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 11/06/2018 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Wenjinn James Chang | 4536266 | 2 | 10/15/2018 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 10/02/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 09/14/2018 | Customer Dispute | Settled | $810,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 08/08/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |