Tag Archives: Brian James Egan

Independent Financial Group Broker Barred In Investigation

August 25, 2016  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Independent Financial Group Broker Barred In Investigation

Brian James Egan, of Laguna Niguel, California, a stockbroker with Independent Financial Group, LLC, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member after consenting to findings that he failed to disclose outside trading accounts, made misrepresentations to his firm, and obstructed a FINRA investigation into allegations of his misconduct. Letter […]

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