Gary 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 moreKirk Badii Investigation May 2022-Southlake, TX The FINRA records of Kirk Badii, a stockbroker who previously worked for UBS Financial Services , disclose a pending customer dispute and 2 terminations from employment. The Financial…
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 moreDecember 2020-Austin, Texas The Texas State Securities Board (TSSB) announced that they have denied the application for registration of Lyle Boudreaux due to unsuitable trading in Leveraged Exchange Traded Funds…
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…
read moreJune 2019- Greenville, SC According to publicly available records, former Independent Financial and Sandlapper Securities financial advisor Kyusun Kim, discloses 19 settled and 4 pending customer disputes and a termination…
read moreDecember 2018-Pacific Grove, CA According to publicly available records Jon R. Pariser , a former stockbroker who was last registered with Independent Financial Group , and before that SWS Financial Services, disclose…
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