According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Jones (Jones), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Scanlon (Scanlon), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Scanlon recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yong Chang (Chang), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chang recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Reddick (Reddick), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reddick recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kathy Busch (Busch), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Busch recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Weldon (Weldon), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weldon recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Elaine Hartman (Hartman), currently associated with Independent Financial Group, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Hartman concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Suzette Lawrence (Lawrence), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lawrence recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Wareham (Wareham), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wareham recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Stewart Ginn (Ginn), currently associated with Independent Financial Group, LLC, has been subject to at least 5 disclosable events. These events include 3 customer complaints, 2 regulatory events. Several of those complaints against Ginn concern allegations of…