Independent Financial Group

  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Brett Hartvigson formerly with Independent Financial Group
Rex Securities Law Investment Fraud Attorney Investigates Brett Hartvigson formerly with Independent Financial Group 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Kirk Badii-Former UBS Broker-$525K Settlement to Elderly Homemaker-Southlake, TX
Kirk Badii-Former UBS Broker-$525K Settlement to Elderly Homemaker-Southlake, TX 150 150 Robert Rex, Esq.

Kirk Badii Investigation December 2023 update Southlake, TX The FINRA records of  Kirk Badii,  a  stockbroker who previously worked for UBS Financial Services , disclose setlement of a customer dispute  and 2 terminations from…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Independent Financial Group Broker Stewart Ginn
Rex Securities Law Investment Fraud Attorney Investigates Independent Financial Group Broker Stewart Ginn 150 150 Robert Rex, Esq.

Last 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…

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Jerry Tuma- Independent Financial Group Broker-Customer Suit Over REIT -Dallas, TX
Jerry Tuma- Independent Financial Group Broker-Customer Suit Over REIT -Dallas, TX 150 150 ER

Jerry 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…

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Lyle Boudreaux- Former Independent Financial Group Advisor-Discloses Over $500K in Settlements With Customers- Houston, TX
Lyle Boudreaux- Former Independent Financial Group Advisor-Discloses Over $500K in Settlements With Customers- Houston, TX 150 150 ER

Lyle 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 ,…

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  • Robert Rex, Esq.

Lyle J. Boudreaux-Former Independent Financial Group Broker-Sued For Losses on ETF’s-Houston, TX
Lyle J. Boudreaux-Former Independent Financial Group Broker-Sued For Losses on ETF’s-Houston, TX 150 150 Robert Rex, Esq.

Aug 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…

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  • Robert Rex, Esq.

Kendall J. Groom- Former Independent Financial Group Broker- Barred From Securities Industry- Fresno, CA
Kendall J. Groom- Former Independent Financial Group Broker- Barred From Securities Industry- Fresno, CA 150 150 Robert Rex, Esq.

January 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…

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  • Robert Rex, Esq.

Shawn B. Davis-Former Independent Financial Group Broker-Discloses 6 Pending Customer Disputes And A Prior Customer Dispute – Auburn, CA
Shawn B. Davis-Former Independent Financial Group Broker-Discloses 6 Pending Customer Disputes And A Prior Customer Dispute – Auburn, CA 150 150 Robert Rex, Esq.

October 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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