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Articles Tagged with Independent Financial Group

Jim P. Shawver (CRD#: 2571148), a registered representative with Independent Financial Group LLC (CRD#: 7717) in Boynton Beach, Florida, is currently involved in an investor dispute, according to his BrokerCheck record accessed on July 22, 2020. What happened to lead to this dispute? Read on to learn more. On May 28, 2020, a client filed […]

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 […]

James Chang (CRD#: 4536266), a registered representative with Independent Financial Group LLC (CRD#: 7717) in Rockville, Maryland who does business as Upright Planning, is currently involved in a customer dispute over unsuitable investment products, according to his BrokerCheck record accessed on March 24, 2020.  On February 13, 2020, a customer filed a complaint against James […]

Ken Guerra (CRD#: 1337062, a registered representative with Independent Financial Group, LLC (CRD#: 7717) in Grants Pass, Oregon who does business as Investment Resources, Inc., is currently involved in a $100,000 customer dispute over high-risk alternative investments.  The claimants allege that they lost some of their retirement savings; the dispute is pending. Why is this customer […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that former California-based Independent Financial Group broker/adviser Jason Reynolds, who has received customer disputes, was recently terminated from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 14, 2018 indicate that Maryland-based Independent Financial Group broker/adviser James Chang has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Chang (CRD# 4536266). James Chang has spent 16 years in the […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 16, 2018 indicate that former California-based Independent Financial Group broker Jon Pariser has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 29, 2018 indicate that former South Dakota-based Independent Financial Group broker Jeffrey Schwebach was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2018 indicate that former California-based Independent Financial Group broker/adviser John Bernard has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bernard (CRD# 2655101). […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2017 indicate that New Mexico-based Independent Financial Group broker/adviser David Hill was discharged from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hill (CRD# 3074816). […]

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