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 |
|---|---|---|---|---|---|---|---|---|
| Elaine Lisa Hartman | 2070272 | 1 | 12/14/2023 | Customer Dispute | Settled | $1,618,000.00 | $0.00 | See FINRA Report |
| Stewart Ginn | 4503197 | 7 | 12/14/2023 | Customer Dispute | Settled | $1,618,000.00 | $0.00 | See FINRA Report |
| Brian Hayden Solomon | 1715160 | 2 | 11/20/2023 | Customer Dispute | Pending | $20,000.00 | $0.00 | See FINRA Report |
| Yong Seok Chang | 4440739 | 4 | 11/20/2023 | Customer Dispute | Pending | $45,000.00 | $0.00 | See FINRA Report |
| Paul Wayne Jones | 2920042 | 4 | 11/15/2023 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Stewart Ginn | 4503197 | 7 | 10/19/2023 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Stewart Ginn | 4503197 | 7 | 10/17/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Suzette Lawrence | 2651541 | 3 | 10/13/2023 | Customer Dispute | Settled | $71,264.00 | $0.00 | See FINRA Report |
| Yong Seok Chang | 4440739 | 4 | 10/12/2023 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Shimshon Plotkin | 2431863 | 11 | 09/29/2023 | Customer Dispute | Settled | $280,000.00 | $0.00 | See FINRA Report |