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Last Updated: February 2024 (San Diego, CA) Brett Hartvigson Investigation Summary Here’s what you need to know about San Diego, CA, stockbroker Brett Hartvigson: Name: Mr. Brett Arthur Hartvigson Current…
read moreLast Updated: November 2023 (Encinitas, CA) Stewart Ginn Investigation Summary Here’s what you need to know about Encinitas, CA, stockbroker Stewart Ginn: Name: Mr. Stewart Ginn Current Employer: Independent Financial…
read moreLast Updated: November 2023 (Boynton Beach, FL) William Isaacson Investigation Summary Here’s what you need to know about Boynton Beach, FL, stockbroker William Isaacson: Name: Mr. William David Isaacson Current…
read moreGary Benson Investigation June 2023-Encino, CA According to publicly available record Gary Benson, an Independent Financial Group broker discloses eight prior customer disputes and one pending customer dispute. The Financial Industry Regulatory…
read moreJerry Tuma Investigation August 2022-Dallas, TX According to FINRA records, Jerry Tuma, a broker with Independent Financial Group discloses two finalized customer disputes and a currently pending customer dispute. The…
read moreLyle Boudreaux Investigation July, 2022 – Houston, TX The FINRA records of Lyle J. Boudreaux a former broker who was previously employed by Independent Financial Group, discloses a regulatory event ,…
read moreAug 2021-Houston, TX The FINRA records of Lyle J. Boudreaux, a stockbroker who is not currently registered with any FINRA broker dealer and who was last employed in the securities industry by…
read moreJanuary 2020- Fresno, CA The FINRA records of Kendall J. Groom , a broker previously employed by Independent Financial Group , disclose a regulatory event resulting in his bar from the securities industry. The Financial Industry…
read moreOctober 2019 – Auburn, CA The FINRA records of Shawn Bruce Davis , a stockbroker who was last employed by Independent Financial Group , disclose 6 pending customer disputes and 2 prior customer disputes. The Financial…
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