Investors have reportedly disputed the sales practices of securities broker Dominic I. Myers [CRD: 5107939, San Diego, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Myers worked for Cetera Wealth Services LLC from May 17, 2022, to the present, Cetera Investment Advisers LLC from June 29, 2023, to the […]

Investors apparently complained about securities broker Darrell Dominic Delphen [CRD: 1603277, Dallas, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Delphen worked for Independent Financial Group LLC from May 18, 2012, to the present as a securities broker and from January 24, 2018, to the present as a financial advisor, […]

Investors apparently complained about securities broker Matthew Hugh Hurley [CRD: 1682165, San Diego, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hurley worked for Wells Fargo Clearing Services LLC from September 15, 2015, to April 13, 2020, and has been registered with Independent Financial Group LLC since March 18, 2020. Investors are […]

FINRA sanctioned securities broker James Daniel Lang (also known as J. Dan Lang) [CRD: 2959057, Westlake Village, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lang has been registered with Independent Financial Group LLC since October 9, 2020, and previously worked for Ball Company from August 25, […]

Investors might have sustained losses due to securities broker Michael Anthony Tannery [CRD: 1538345, Richardson, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Tannery worked for Independent Financial Group LLC as a broker beginning May 31, 2013, and as an investment adviser beginning June 12, 2013. Investors should keep reading to […]

Investors might have sustained losses because of securities broker Brian James Zimmerman [CRD: 2401501, San Diego, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Zimmerman has been registered with Independent Financial Group LLC since April 10, 2012, working as both a broker and investment adviser during this period. […]

Investors apparently complained about securities broker John Kacheong Lee [CRD: 2948622, Pleasanton, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lee has been registered with Independent Financial Group LLC since October 28, 2005, as a broker and since October 31, 2005, as an investment adviser. Read below to […]

Investors apparently complained about securities broker Charles Kenneth Wareham [CRD: 2193537, Hartford, Connecticut], according to publicly available information on FINRA BrokerCheck. Evidently, Charles Wareham has been registered with Independent Financial Group LLC since March 14, 2014. Readers are encouraged to continue below for details about the disclosures involving Wareham. Independent Financial Group LLC Investor Accused […]

Investors apparently complained about securities broker Timothy Richard Yee [CRD: 2492578, Alameda, California], according to publicly available information on FINRA BrokerCheck. Evidently, Yee has been registered with Independent Financial Group LLC since July 8, 2015, and previously worked for LPL Financial LLC from May 30, 2014, to June 10, 2015. See the following summary for […]