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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Tuan Kien Loy | 3029654 | 5 | 04/13/2022 | Customer Dispute | Final | $1,500,000.00 | $0.00 | See FINRA Report |
| Gary Gustave Benson | 1182211 | 11 | 04/13/2022 | Customer Dispute | Settled | $5,500.00 | $0.00 | See FINRA Report |
| Jaime M MacIel | 6191539 | 1 | 04/11/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Peter Morand | 728191 | 7 | 04/08/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Walter Charles Howard | 717601 | 1 | 03/17/2022 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Donovan Thomas Kelly | 2622366 | 1 | 03/16/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Edward Mazza | 2292942 | 2 | 03/08/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Alexander Raymond Creede | 6392369 | 1 | 03/03/2022 | Customer Dispute | Denied | $160,000.00 | $0.00 | See FINRA Report |
| Williams Keen Butcher | 2098675 | 2 | 03/03/2022 | Customer Dispute | Denied | $160,000.00 | $0.00 | See FINRA Report |
| Hui Zhang | 5918387 | 4 | 02/15/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |