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Articles Tagged with Independent Financial Group

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). […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 25, 2017 indicate that Washington-based Independent Financial Group broker/adviser Morgan Arford has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Arford (CRD# 4945329). Morgan Arford has spent […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 19, 2017 indicate that Connecticut-based Independent Financial Group broker/adviser Denis O’Brien has received a FINRA sanction and customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. O’Brien (CRD# 716498). Denis O’Brien has spent 36 […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 12, 2017 indicate that California-based Crown Capital Securities broker/adviser Martin Batstone has received customer disputes and a regulatory sanction. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Batstone (CRD# 2171601). Martin Batstone has spent 25 years in […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 20, 2017 indicate that Oregon-based Independent Financial Group broker Gerhard Heuer, also known as Gary Heuer, has received several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Heuer (CRD# 1868447). Gary Heuer […]

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