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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 […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that Hawaii-based Independent Financial Group broker/adviser Herbert Shiraishi has received pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Shiraishi (CRD# 1835557). Herbert Shiraishi has spent 29 years in the securities […]

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 […]

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