• James Mark Senglaub, Broker with Independent Financial Group, Named in Customer Dispute Seeking Over $300K in Damages
  • James Flanagan, Broker with Independent Financial Group, Named in Customer Dispute Seeking Over $100K
  • Wenjinn Chang, Broker for Independent Financial Group, Named in Customer Dispute Alleging Unsuitable Investments
  • Daryl Serizawa, Formerly of Independent Financial Group, Under Investigation for Recommending GPB Capital Private Placements
  • Brian Lockett, Broker for Independent Financial Group, Suspended by FINRA for Hiding a $50K Private Placement
  • Broker Alert: Jason Reynolds Fired After Allegations of Unapproved Advertising