Independent Financial Group Tag Archives

Broker Ben Putman in Independent Financial Group, LLC Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ben Putman (Putman), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Putman 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 $52,000.00 on August 06, 2021.

ALLEGE INVESTMENT WAS NOT SUITABLE

Broker Chad Schiel in Independent Financial Group, LLC Firm Has Customer Complaint

January 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Schiel (Schiel), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schiel 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 $150,000.00 on September 01, 2021.

Allege investments were not suitable and that there was an overconcentration of illiquid products.

Broker Marcus Henderson in Independent Financial Group, LLC Firm Has Customer Complaint

January 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcus Henderson (Henderson), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henderson 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 $5,000.00 on September 02, 2021.

Customer alleges that representative gave poor advice with regard to the withdrawal, and subsequent exchange, from a Variable Life Policy to a Universal Life Policy resulting in a tax liability.

There are Recent Customer Complaints with Broker Franklin Lara in Firm Independent Financial Group, LLC

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Franklin Lara (Lara), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lara 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 $469,130.00 on October 06, 2021.

Allege investments were not suitable and were not in line with clients stated objectives.

Broker James Petrizzo in Independent Financial Group, LLC Firm Has Customer Complaint

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Petrizzo (Petrizzo), currently associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Petrizzo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 07, 2021.

On July 7, 2021, the Representative’s former broker-dealer agency filed on his behalf a non-resident insurance agent application that was submitted to the Wisconsin Commissioner of Insurance (COI). Per an Administrative Action, on October 7, 2021 the Wisconsin COI denied the application on the basis that (i) it was not completed in full, and (ii) a COI request for information was not responded to in a timely manner.

There are Recent Customer Complaints with Broker Robert Turley in Firm Independent Financial Group, LLC

January 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Turley (Turley), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Turley 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 $76,700.00 on October 25, 2021.

Allege investment was not suitable

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

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jung 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 settled customer complaint with a damage request of $150,000.00 on November 12, 2021.

Allege investments were not suitable and were not in line with client’s investment objectives.

Broker Dale Norton in Independent Financial Group, LLC Firm Has Customer Complaint

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dale Norton (Norton), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Norton 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 $50,000.00 on December 01, 2021.

Allege investment was not suitable and was not in line with clients’ investment objectives.

Broker Jerry Tuma in Independent Financial Group, LLC Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Tuma (Tuma), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tuma 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 January 21, 2022.

Claims investment was not suitable and was not in line with stated objectives.

Broker Kyle Kirwan in Independent Financial Group, LLC Firm Has Customer Complaint

December 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Kirwan (Kirwan), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kirwan 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 $334,000.00 on January 31, 2022.

Breach of Fiduciary duty, over concentration in high risk securities.