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 |
|---|---|---|---|---|---|---|---|---|
| Robert Tison Lee | 4567479 | 1 | 12/19/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Wayne Smith | 1465186 | 4 | 07/07/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Edward Bashaw | 1251491 | 7 | 06/28/1988 | Customer Dispute | Settled | $620,000.00 | $0.00 | See FINRA Report |
| Jeffrey Peter Morand | 728191 | 7 | 04/11/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Suzette Lawrence | 2651541 | 3 | 04/07/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Gene Elhoff | 855864 | 5 | 03/15/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Scott McLaughlin | 1510342 | 1 | 12/16/1987 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Arthur Eugene Molloy | 734407 | 1 | 05/18/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kerry Wesley Tanner | 1006125 | 2 | 05/28/1986 | Customer Dispute | Settled | $131,136.00 | $0.00 | See FINRA Report |
| Kerry Wesley Tanner | 1006125 | 2 | 02/01/1986 | Customer Dispute | Settled | $98,500.00 | $0.00 | See FINRA Report |