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 |
|---|---|---|---|---|---|---|---|---|
| Joel Earl Archer | 4706959 | 2 | 06/21/2016 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Shimshon Plotkin | 2431863 | 9 | 06/20/2016 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Gerhard Frederick Heuer | 1868447 | 6 | 06/07/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Julian E. Munoz | 4773991 | 5 | 04/26/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 04/13/2016 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| James Michael Noto | 1030904 | 8 | 03/10/2016 | Customer Dispute | Settled | $340,000.00 | $0.00 | See FINRA Report |
| Roberto Luis Maldonado | 5093698 | 36 | 01/20/2016 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Julian E. Munoz | 4773991 | 5 | 01/19/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Hugh Hurley | 1682165 | 6 | 01/19/2016 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| James Michael Noto | 1030904 | 8 | 10/29/2015 | Customer Dispute | Settled | $10,812.00 | $0.00 | See FINRA Report |