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James Flanagan, of Independent Financial Group, Involved in $110,00 Customer Dispute Over Alleged Investment Losses

James Flanagan (CRD#: 1812317), a registered representative with Independent Financial Group LLC (CRD#: 7717) in Downers Grove, Illinois is currently involved in a customer dispute in which a customer is seeking more than $100,000 in damages, according to James Flanagan’s BrokerCheck record accessed on May 14, 2020. Read on to learn more about what led to this customer complaint against James Flanagan. 

James Flanagan

On March 30, 2020, a client alleged that James Flanagan’s actions resulted in investment losses. The client is seeking $110,000 in damages; the dispute is pending. While his BrokerCheck record does not give much information about the allegation, the amount of damages sought suggests that the allegation is serious. 

James Flanagan has passed the Series 65 – Uniform Investment Adviser Law Examination, the Series 63 – Uniform Securities Agent State Law Examination, the SIE – Securities Industry Essentials Examination, the Series 7 – General Securities Representative Examination, and the Series 6 – Investment Company Products/Variable Contracts Representative Examination. He is registered to sell securities in California, Colorado, Florida, Illinois, Indiana, Maine, Maryland, Michigan, Mississippi, Missouri, New Jersey, New Mexico, New York, North Carolina, Ohio, Texas, Washington, and Wisconsin. 

Over his 31-year career in the securities industry, James Flanagan has worked for six brokerage firms. In addition to  Independent Financial Group LLC (CRD#: 7717) in Downers Grove, Illinois, he has also worked for the following broker-dealers:

  • FSC Securities Corporation (CRD#: 7461)
  • Waterstone Financial Group, Inc. (CRD#: 10078)
  • Re-Direct Securities Corp. (CRD#: 35518)
  • Pruco Securities Corporation (CRD#: 5685) 
  • The Prudential Insurance Company of America (CRD#: 680)

If James Flanagan was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta to learn about your options for the recovery of investment losses. Call (877) 238-4175 or email info@fkesq.com for your free case consultation with a securities attorney. 

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