Articles Tagged with Independent Financial Group

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Yee (Yee), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yee 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 $126,000.00 on May 05, 2025.

Alleges investment was not suitable and was not in line with her investment objectives.

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

FINRA BrokerCheck shows a settled customer complaint on September 01, 2023.

Claimant alleges unsuitable investment recommendations and failure to follow instructions in March 2021.

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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 settled customer complaint with a damage request of $280,000.00 on September 29, 2023.

Claimant, through his counsel, claims that the one investment that did not perform as expected was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Coria (Coria), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Coria 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 $1,521,706.00 on November 10, 2023.

Claimant(s) allege that representative recommended investments that were largely concentrated in illiquid, speculative, low-quality, and high commission non-traded real estate investment trusts and Business Development Companies.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Mcfarland (Mcfarland), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcfarland 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 $1,521,706.00 on November 10, 2023.

Claimant(s) allege that representative recommended investments that were largely concentrated in illiquid, speculative, low-quality, and high commission non-traded real estate investment trusts and Business Development Companies.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Jones (Jones), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $35,000.00 on November 15, 2023.

Cherry-picked investment suspended dividends due to COVID and, to date, has not resumed payments. Asset still has value; however, Claimant is alleging it was not suitable and that he has suffered losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Scanlon (Scanlon), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Scanlon 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 $635,000.00 on November 14, 2023.

Claimant has purchased several GWG products since 2016. GWG filed Chapter 11 bankruptcy as a debtor in possession in April 2022. Claimant files this claim against Respondent Arque for a few causes of action including but not limited to breach of fiduciary duty, breach of contract, negligence and violation of various state and federal securities laws. Claimant files this claim against Respondent Scanlon for control person liability.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yong Chang (Chang), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chang 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 $45,000.00 on November 20, 2023.

Alleges product was not suitable and was not in line with claimant’s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Reddick (Reddick), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reddick 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 $35,000.00 on November 20, 2023.

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

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kathy Busch (Busch), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Busch 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 $50,000.00 on November 20, 2023.

Claim alleges investment was not suitable and was not in line with Claimant’s investment objectives and risk tolerance.

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