Search for: "Independent Financial Group LLC"
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1 Oct 2018, 6:35 am
Former Sandlapper Securities, LLC (Sandlapper) and Independent Financial Group, LLC (Independent Financial) broker Kyusun “Kenny” Kim (Kim) has been subject to at least 23 customer complaints and one regulatory action. [read post]
17 Mar 2023, 11:34 am
According to its website, Lincoln Financial Advisors is an independent broker/dealer is the marketing name for Lincoln National Corporation and its affiliates. [read post]
8 Dec 2022, 7:35 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
27 Dec 2019, 11:13 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Brian Lockett (Lockett), formerly employed by Independent Financial Group, LLC (Independent Financial) has been subject to at least nine customer complaints and one regulatory action during the course of his career. [read post]
13 Feb 2023, 7:20 am
The post FINRA Sanctions Fortune Financial for VA Sales appeared first on The White Law Group. [read post]
17 Nov 2023, 9:54 pm
Management, financial rights, and voting rights can differ from series to series, giving members a great deal of independence and flexibility without sharing risk with other series. [read post]
13 Nov 2018, 12:03 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Jeffrey Schwebach (Schwebach), formerly associated with Independent Financial Group, LLC (Independent Financial) in Dell Rapids, South Dakota was terminated by the firm. [read post]
8 Feb 2019, 12:27 pm
Wenjinn James Chang (CRD #4536266) is a registered broker and investment advisor currently employed with Independent Financial Group, LLC (CRD #7717) of Rockville, MD. [read post]
29 Jun 2010, 1:47 pm
Inc. $850,000 $94,000 DeWaay Financial Network LLC $850,000 $134,525 Eagle One Investments LLC $360,000 $42,500 Empire Financial Group Inc. $2,750,000 $234,200 Empire Securities Corp. $205,000 - E-Planning.com Securities Inc. $3,765,000 $483,925 First Allied Securities Inc. $380,000 $11,250 Gk Securities LLC $50,000 - Grant Bettingen Inc. $215,000 $19,350 GunnAllen Financial Inc. $22,255,000 - Harrison Douglas Inc.… [read post]
4 Aug 2020, 6:10 am
Advisor William Morrow (Morrow), currently employed by Concorde Investment Services, LLC (Concorde Investment) and formerly employed by Independent Financial Group, LLC (Independent Financial) has been subject to at least 14 customer complaints and one employment termination for cause during the course of his career. [read post]
4 Aug 2016, 7:33 am
Egan, Independent Financial Group (IFG)? [read post]
12 Sep 2019, 8:47 am
The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Jeffrey Nesseth (Nesseth) currently associated with Independent Financial Group, LLC (Independent Financial) out of Plano, Texas. [read post]
1 Oct 2019, 1:11 pm
The securities attorneys at Gana Weinstein LLP are investigating advisor Herbert Shiraishi (Shiraishi), currently registered with Independent Financial Group, LLC (Independent Financial) out of Honolulu, Hawaii and Hilo, Hawaii. [read post]
28 Jun 2019, 7:49 am
Advisor Shimshon Plotkin (Plotkin), currently employed by Independent Financial Group, LLC (Independent Financial) has been subject to at least seven customer complaints during the course of his career. [read post]
12 Oct 2018, 12:09 pm
”) Kim’s previous employers include Independent Financial Group, LLC (CRD #7717), Lincoln Financial Advisors Corporation (CRD #3978), both also of San Diego, and The Lincoln National Life Insurance Company (CRD #2580) of Fort Wayne, IN. [read post]
9 Jul 2017, 7:47 am
Current Independent Financial Group, LLC (Independent Financial) broker Gerhard Heuer (Heuer) has been subject to six customer complaints – many of which concern suitability concerns over recommendations for Variable Universal Life (VUL) policies. [read post]
3 May 2017, 12:52 am
appeared first on Michael H Cohen Law Group | Healthcare Lawyer | Life Sciences | FDA & FTC Law. [read post]
24 Feb 2016, 6:25 am
The Court highlighted that four of the five Plaintiffs admitted that they had no independent recollection of reading or reviewing the audit reports. [read post]
14 Jan 2019, 7:33 am
Advisor Wenjinn Chang (Chang), currently employed by Independent Financial Group, LLC (Independent Financial) has been subject to at least two customer complaints. [read post]
7 Mar 2024, 6:59 am
The second lawsuit involves a group of workers first engaged as independent contractors and then converted to employees. [read post]
