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 |
|---|---|---|---|---|---|---|---|---|
| Jon Gregory Sanchez | 2418439 | 4 | 08/28/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Tannery | 1538345 | 5 | 08/11/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott Lee Brady | 4107792 | 2 | 07/23/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Monahan | 1546712 | 5 | 06/18/1998 | Customer Dispute | Settled | $122,570.00 | $0.00 | See FINRA Report |
| Sean Hooman Agahi | 2448745 | 7 | 03/04/1998 | Customer Dispute | Settled | $33,659.70 | $0.00 | See FINRA Report |
| Stephen Travis Perreault | 5610084 | 1 | 12/13/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Paul Guerra | 1337062 | 3 | 09/24/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Harold Sweet | 4090608 | 3 | 09/15/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Hyat | 1774463 | 2 | 08/21/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Michael Noto | 1030904 | 8 | 04/17/1997 | Customer Dispute | Settled | $15,041.30 | $0.00 | See FINRA Report |