Articles Tagged with Independent Financial Group

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Orian Fridner (Fridner), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fridner 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 $120,000.00 on February 20, 2026.

Alleges investment was unsuitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk Badii (Badii), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Badii 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 $3,000,000.00 on March 05, 2026.

Statement of Claim alleges concerns regarding the handling of the Claimant’s investment accounts and related loan activity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kolacz (Kolacz), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kolacz 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 March 16, 2026.

Claimaint alleges unsuitable $40,000 investment into gwg holdings in October 2017.

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

FINRA BrokerCheck shows a pending customer complaint on April 06, 2026.

Clients allege the product was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Pariser (Pariser), previously associated with Independent Financial Group, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Pariser 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 $1,202,739.63 on June 12, 2020.

Alleges representative was involved with individuals who were running a scam and that he convinced her to invest in fraudulent investments, resulting in a loss.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Elhoff (Elhoff), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Elhoff 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 January 16, 2026.

Alleges investments were made without the client’s consent and that investments were not suitable. Part of the claim is also for taxes paid as the result of a recommendation that the client roll a Traditional IRA into a ROTH.

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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 $4,300,000.00 on February 09, 2026.

Customer alleges unsuitable investment recommendations in real estate securities.

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

FINRA BrokerCheck shows a settled customer complaint on November 16, 2020.

Claimant alleges unsuitable investment recommendations.

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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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