FINRA suspended and fined securities broker Jose Antonio Navarro (also known as Tony Navarro) [CRD: 2250454, Los Angeles, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Navarro worked for Independent Financial Group LLC from December 7, 2017 to August 15, 2023, and LPL Financial LLC from September 8, 2009 to December […]

Investors may have incurred losses due to securities broker Scott Lawrence Olson [CRD: 711256, Melbourne, Florida], according to publicly available information found on FINRA BrokerCheck. Olson joined Innovation Partners LLC on July 13, 2021, and IP Financial Advisory Services LLC on July 14, 2021. He previously worked for firms including Atlantic Financial Advisors LLC, Independent […]

Investors potentially experienced losses due to securities broker Hermogenes-Gil Patrick Tantoco (also known as Patrick Tantoco or Hermongenes Gil Patrick Tantoco) [CRD: 5249850, Honolulu, Hawaii], according to disclosures on FINRA BrokerCheck. It appears that Tantoco worked for Independent Financial Group LLC until December 2016 and has been registered with Osaic Wealth Inc. since March 8, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Richard Mireles (CRD#: 5288651, San Diego, California). Mireles has worked for Independent Financial Group LLC since May 2010. Recent disclosures indicate that FINRA has sanctioned Mireles, suspending him from principal and supervisory roles due to failure to address excessive trading red flags raised by […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Brian Hayden Solomon (CRD: 1715160, Encinitas, California). Solomon has worked in the financial industry for 37 years and has been registered with Independent Financial Group LLC since 2005. Recent disclosures reveal concerns regarding Solomon’s conduct, including allegations related to the suitability of investments and […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Stewart Ginn (also known as Stewart Taylor and Paxton Ginn Jr.) [CRD: 4503197, Santa Maria, California]. Evidently, Ginn joined Independent Financial Group LLC on September 3, 2015, and worked for Navian Capital Securities LLC in Cincinnati, Ohio, from February 18, 2021, to March 10, […]

Investors possibly experienced losses because of securities broker Yong Seok Chang [CRD: 4440739, Seattle, Washington], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Chang joined Independent Financial Group LLC on October 27, 2008. Keep reading to learn more about Chang’s disclosures. Independent Financial Group LLC Investor Accused Chang Of Unsuitable Recommendations Particularly, […]

Investors might have sustained losses due to securities broker Richard Benn McFarland Jr. [CRD: 1080626, Wyomissing, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Richard McFarland worked for Independent Financial Group LLC from July 15, 2022, to January 3, 2023, and for NPB Financial Group LLC from May 17, 2006, to […]

Investors possibly experienced losses because of securities broker William David Isaacson [CRD: 2418034, Boynton Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, William Isaacson worked for Peak Brokerage Services LLC from September 11, 2020, to December 31, 2023, and Independent Financial Group LLC from May 29, 2013, to September 11, […]