Articles Tagged with Independent Financial Group

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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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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Weldon (Weldon), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weldon 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 $400,000.00 on May 16, 2025.

Allege representative violated rules and industry standards of conduct resulting in losses

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Elaine Hartman (Hartman), currently associated with Independent Financial Group, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Hartman  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,618,000.00 on December 14, 2023.

Statement of Claim contains allegations of breach of fiduciary duty, negligence, negligent misrepresentation, negligent supervision, breach of contract, churning, excessive trading, fraud and deceit, and unfair business practices/unfair competition.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Suzette Lawrence (Lawrence), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lawrence 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 $30,000.00 on January 24, 2024.

Client expressed frustration with losses in his investment advisory account. July 28, 2021, to December 21, 2023.

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