Articles Tagged with Independent Financial Group

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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.

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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.

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Syde (Syde), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Syde 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 March 23, 2022.

Allege that the representative was managing money in a Privately Managed Account that is not able to be located and, presumably was taken by the (now deceased) representative in question.

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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 2 disclosable events. These events include 2 customer complaints, 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 $2,730,000.00 on October 17, 2025.

Statement of claim alleges dissatisfaction with the management of the Claimant’s investment and loan accounts.

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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 2 disclosable events. These events include 2 customer complaints, 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 $2,730,000.00 on October 17, 2025.

Statement of claim alleges dissatisfaction with the management of the Claimant’s investment and loan accounts.

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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.

Continue Reading

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Beber (Beber), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beber 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 $100,000.00 on February 14, 2022.

Alleges investment was not in line with client’s stated objectives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kendall Groom (Groom), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Groom 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 $90,000.00 on February 14, 2022.

Client alleges their registered representative made unsuitable recommendations.

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