Independent Financial Group Tag Archives

There are Recent Customer Complaints with Broker Walter Howard in Firm Independent Financial Group, LLC

December 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Howard (Howard), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Howard recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $300,000.00 on March 17, 2022.

Customers claim they were overconcentrated in illiquid investments.

Broker Jeffrey Morand in Independent Financial Group, LLC Firm Has Customer Complaint

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Morand (Morand), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morand recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 08, 2022.

Breach of fiduciary duty, suitability, Securities Act, common law fraud and common law negligence, violation of FINRA Rule 2210, violation of FINRA rules 2010, IM-2310-2, and 2020, fraudulent misrepresentations and omissions, and breach of contract

Broker Gary Benson in Independent Financial Group, LLC Firm Has Customer Complaint

November 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Benson (Benson), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Benson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,000.00 on October 13, 2022.

Claimant alleges product was not suitable

There are Recent Customer Complaints with Broker Theodore Kourpas in Firm Independent Financial Group, LLC

October 31, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Theodore Kourpas (Kourpas) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Kourpas was employed by Independent Financial Group, LLC at the time of the activity. If you have been a victim of Kourpas’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,450,000.00 on September 11, 2025.

Respondents’ misrepresentations, omissions, unsuitable recommendation, selling away violations and Claimant suffered significant losses.

Broker Brian Zimmerman in Independent Financial Group, LLC Firm Has Customer Complaint

October 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Zimmerman (Zimmerman), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zimmerman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $125,000.00 on September 12, 2025.

Claimant wasn’t explained the risk of such investment therefore, and Claimant has been decimated by the losses sustained by Respondent’s investment recommendations.

Broker John Lee in Independent Financial Group, LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Lee (Lee), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lee recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 22, 2025.

(1)unsuitable investments (2) misrepresentation (3) negligence (4) breach of fiduciary duty in connection with reit investments

Broker Shao Tsung Tseng in Independent Financial Group, LLC Firm Has Customer Complaint

October 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shao Tsung Tseng (Tseng), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tseng recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimant alleged that the Representative recommended multiple alternative investment products that resulted in substantial losses. Claimant further alleged that the Representative misrepresented the safety of the products.

Broker Joyce Thomas in Independent Financial Group, LLC Firm Has Customer Complaint

October 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joyce Thomas (Thomas), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Thomas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimant alleged that the Representative recommended multiple alternative investment products that resulted in substantial losses. Claimant further alleged that the Representative misrepresented the risks associated with products.

Broker Robert Sweet in Independent Financial Group, LLC Firm Has Customer Complaint

October 11, 2025 | by Staff Attorney

Currently financial advisor Robert Sweet (Sweet), 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 as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on August 19, 2025.

Claimants allege representative is in violation of Reg BI due to investing in non-traded REITs.

There are Recent Customer Complaints with Broker Timothy Yee in Firm Independent Financial Group, LLC

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Yee (Yee), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yee recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 29, 2025.

Claims investments were not suitable, breach of fiduciary duty and financial abuse of an elderly person.