Articles Tagged with Independent Financial Group

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kurt Rohrs (Rohrs), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rohrs 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 $158,000.00 on February 08, 2021.

Client, through his attorney, alleges that investment made was risk and unsuitable and not in line with his stated investment objectives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathaniel Higgins (Higgins), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Higgins 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 $1,000,000.00 on November 24, 2025.

Claimants allege that unsuitable recommendations were made in a securitized real estate offering.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Loren Grabau (Grabau), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grabau 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 $213,142.00 on December 24, 2025.

Alleges accounts were subjected to high management fees, margin charges and commissions that were not suitable/appropriate and that resulted in losses.\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tatyana Bunich (Bunich), currently associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Bunich 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 $149,000.00 on March 31, 2021.

Around 2015 [redacted] came to tatyana bunich seeking investment advice. [redacted] alleges that ms. Bunich advised her to invest exclusively in reits and alternative investments. [redacted] alleges that ms. Bunich violated finra rule 2110, 2111, negligence, misrepresentations and omissions of material facts and breach of fiduciary duty

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Senglaub (Senglaub), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Senglaub 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 $342,000.00 on April 22, 2021.

Claimants allege the registered representative recommended alternative investments that were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roberto Maldonado (Maldonado), currently associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Maldonado 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 $440,000.00 on April 28, 2021.

Client alleges overconcentration, unsuitability, breach of fiduciary duty, violations of securities laws and rules, breach of contract, negligence, fraud, false inducement to inaction, negligent supervision (Puerto Rico closed-end funds). Includes request for rescission, punitive damages, interest, costs, fees.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Davis (Davis), previously associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Davis 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 $5,001.00 on June 14, 2021.

Allege investment in a high concentration of high-risk, illiquid invesments which was not suitable

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Previously financial advisor John Rice (Rice), previously 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 settled customer complaint with a damage request of $250,000.00 on June 21, 2021.

Allege investment in non-traded REITs was not suitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Senglaub (Senglaub), currently associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Senglaub 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 $390,807.00 on June 28, 2021.

Claimant alleges the representative improperly concentrated his investment accounts with unsuitable alternative investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shimshon Plotkin (Plotkin), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Plotkin 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 $100,000.00 on November 26, 2025.

Alleges investment was unsuitable

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