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 | 07/24/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Reed Nesseth | 1983482 | 4 | 06/20/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 06/11/2018 | Customer Dispute | Settled | $674,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 06/11/2018 | Customer Dispute | Settled | $6,400,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 06/08/2018 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 04/30/2018 | Customer Dispute | Settled | $704,000.00 | $0.00 | See FINRA Report |
| Cynthia Mary Couyoumjian | 1456630 | 16 | 03/26/2018 | Customer Dispute | Settled | $13,875.00 | $0.00 | See FINRA Report |
| Leticia Hewko | 6211451 | 1 | 03/26/2018 | Customer Dispute | Settled | $13,875.00 | $0.00 | See FINRA Report |
| Mark Stephen Adler | 2200305 | 1 | 03/19/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 01/30/2018 | Customer Dispute | Settled | $137,352.00 | $0.00 | See FINRA Report |