Independent Financial Group Tag Archives

Broker David Elhoff in Independent Financial Group, LLC Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

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.

Broker Nathaniel Higgins in Independent Financial Group, LLC Firm Has Customer Complaint

April 5, 2026 | by Staff Attorney

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.

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

March 21, 2026 | by Staff Attorney

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.

Broker Kurt Rohrs in Independent Financial Group, LLC Firm Has Customer Complaint

March 9, 2026 | by Staff Attorney

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.

Broker Nathaniel Higgins in Independent Financial Group, LLC Firm Has Customer Complaint

March 6, 2026 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Loren Grabau in Firm Independent Financial Group, LLC

March 4, 2026 | by Staff Attorney

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.\,

Broker Tatyana Bunich in Independent Financial Group, LLC Firm Has Customer Complaint

February 24, 2026 | by Staff Attorney

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

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

February 21, 2026 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Roberto Maldonado in Firm Independent Financial Group, LLC

February 19, 2026 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Shawn Davis in Firm Independent Financial Group, LLC

February 13, 2026 | by Staff Attorney

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