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…
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 records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brett Hartvigson (Hartvigson), previously associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Hartvigson recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Bryant (Bryant), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bryant 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 Darrell Delphen (Delphen), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Delphen recommended unsuitable investments in different investment products including debt securities among other…
Currently financial advisor Ronald Appler (Appler), currently employed by brokerage firm Independent Financial Group, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such…