Independent Financial Group

There are Recent Customer Complaints with Broker Jammie Avila in Firm Independent Financial Group, LLC

September 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 08, 2023.

Various and non-various breach of fiduciary duty.

There are Recent Customer Complaints with Broker Leticia Hewko in Firm Independent Financial Group, LLC

September 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leticia Hewko (Hewko), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hewko 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 July 07, 2025.

Clients claim their investments were not suitable and they were unaware of the risk

Broker Christy Earhart in Independent Financial Group, LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 21, 2022.

GWG filed Chapter 11 bankruptcy as a debtor in possession in April 2022. Claimant files this claim against Arque for a number of causes of action including but not limited to breach of fiduciary duty, negligence and violation of various state securities laws and FINRA rules. Respondent denies all allegations in their entirety.

There are Recent Customer Complaints with Broker Matthew Scanlon in Firm Independent Financial Group, LLC

August 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Scanlon (Scanlon), currently 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 settled customer complaint with a damage request of $230,000.00 on January 22, 2024.

Arque Capital and Matthew Scanlon conduct breached its fiduciary duty to the Claimants by making material misrepresentations and omissions and selling highly speculative unsuitable investments in large concentrations.

Broker Andrew Baker in Independent Financial Group, LLC Firm Has Customer Complaint

August 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Baker (Baker), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baker 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 May 28, 2025.

Allege that investment was in a risky, privately traded REIT which was not suitable for a portion of his retirement savings

There are Recent Customer Complaints with Broker Timothy Yee in Firm Independent Financial Group, LLC

July 26, 2025 | by Staff Attorney

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.

Broker Bryce Jones in Independent Financial Group, LLC Firm Has Customer Complaint

July 10, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Shimshon Plotkin in Firm Independent Financial Group, LLC

July 6, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Shirley Coria in Firm Independent Financial Group, LLC

June 30, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Richard Mcfarland in Firm Independent Financial Group, LLC

June 30, 2025 | by Staff Attorney

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.