Jon Richard Pariser of Pacific Grove, California, a stockbroker formerly registered with Independent Financial Group LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $103,004.30 in damages supported by accusations that the customer had been persuaded by Pariser to invest their funds into an unregistered investment….

Shawn Bruce Davis of Auburn, California, a stockbroker formerly registered with Independent Financial Group, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer sought compensatory damages supported by accusations that REIT and interval fund transactions effected in the customer’s account by Davis were unsuitable for the customer during…

Donovan Thomas Kelly of Billings, Montana, a stockbroker currently registered with Independent Financial Group, has been fined $10,000.00 and suspended for seven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Kelly engaged in private securities transactions when he was registered with Independent Financial Group. Letter…

Kirk Badii, of Los Angeles, California, a stockbroker formerly registered with UBS Financial Services Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $3,000,000.00 in damages supported by accusations of mismanagement and unsuitable recommendations concerning alternative investments while Badii was associated with UBS Financial Services. Financial…

Theodore Hendrickus Franse (also known as Ted Franse), of Fair Oaks, California, a stockbroker formerly registered with Independent Financial Group, is identified in a customer initiated investment related, FINRA Securities Arbitration claim in which the customer sought $9,500.00 in damages based upon accusations that they were sold unsuitable REITs by Franse when he was registered…

Shimshon Plotkin (also known as Shim Plotkin), of Chevy Chase, Maryland, a stockbroker currently registered with Independent Financial Group LLC, is the subject of a customer initiated investment related FINRA Securities Arbitration claim in which the customer requested compensatory damages supported by allegations that they were sold unsuitable investments including real estate investment trusts (non-traded…

James Marten Lamont, of San Francisco, California, a stockbroker formerly registered with Whitehall Parker Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $100,000.01 in damages supported by accusations that Lamont provided unsuitable recommendations to them as it pertained to real estate security products…

John Michael Cione of San Diego, California, a stockbroker formerly registered with Independent Financial Group, is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $105,000.00 in damages based on allegations of Cione providing unsuitable recommendations concerning alternative investments during the time that he was employed by Independent…

William Aubrey Morrow (also known as W. Aubrey Morrow) of San Diego California a stockbroker and investment adviser representative of Independent Financial Group (IFG) is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $100,000.00 in damages founded upon allegations that they were placed into unsuitable direct investments…

Lyle Jude Boudreaux of Houston Texas a stockbroker formerly registered with Independent Financial Group has been issued a Consent Order by Texas State Securities Board in which Boudreaux’s investment adviser representative registration and securities agent registration in the state has been denied founded on allegations of Boudreaux making unsuitable recommendations to customers in the state…

Angelo Talebi of Sherman Oaks California a stockbroker formerly registered with Independent Financial Group LLC is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $150,000.00 in damages founded on allegations that the customer had been placed into unsuitable alternative investments because of Talebi at Royal Alliance Associates….

Shawn Bruce Davis of Auburn California a stockbroker formerly registered with Independent Financial Group is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested compensatory damages supported by allegations that their assets had been concentrated in non-traded real estate investment trusts by Davis during the time that he was…

Jon Richard Pariser of Pacific Grove California a stockbroker formerly registered with Independent Financial Group is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $1,202,739.63 in damages based upon accusations of Pariser having involved himself with people who persuaded the customer to invest in fraudulent promissory notes. Financial…

Kyusun Kim (also known as Kyu Sun Kim and as Kenny Kim) of San Diego California a stockbroker formerly employed by Independent Financial Group LLC is referenced in a customer initiated investment related arbitration claim which was settled for $60,000.00 in damages based upon allegations that the stockbroker violated federal and state securities laws through…

Martin David Batstone (also known as Marty David Batstone) of San Diego California a stockbroker formerly registered with Independent Financial Group LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon a FINRA Office of Hearing Officers Order Accepting Offer of Settlement containing findings that Batstone…

Jon Richard Pariser of Pacific Grove California a stockbroker formerly employed by Independent Financial Group LLC has been referenced in a customer initiated investment related arbitration claim where the customer sought $1,268,000.00 in damages founded on accusations of unsuitable promissory notes transactions which caused the customer to incur investment losses. Financial Industry Regulatory Authority (FINRA)…

Angelo Talebi of Sherman Oaks California a stockbroker formerly employed by Independent Financial Group LLC and Royal Alliance Associates Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested between $100,000.00 and $500,000.00 in damages supported by accusations that (1) false or misleading statements had been made by…

Shimshon Plotkin (also known as Shim Plotkin) of Chevy Chase Maryland a stockbroker currently registered with Independent Financial Group is the subject of a customer initiated investment related arbitration claim in which the customer sought as much as $1,000,000.00 in damages based upon accusations that the customer had been placed in alternative investments including real…

Martin David Batstone (also known as Marty Batstone) of San Diego California a stockbroker formerly registered with Independent Financial Group has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Batstone converted a customer’s funds and engaged in securities transactions away from the securities broker dealer. Department of…

Martin David Batstone (also known as Marty David Batstone) of San Diego California a stockbroker formerly employed by Independent Financial Group is the subject of a Financial Industry Regulatory Authority (FINRA) Investigation in which the regulator determined that disciplinary action should be taken by FINRA Department of Enforcement against the stockbroker founded on allegations of…

Shawn Bruce Davis of Auburn California a stockbroker formerly employed by Independent Financial Group LLC is the subject of a customer initiated investment related civil action brought in the Superior Court of the State of California in which the customer requested unspecified damages founded on accusations that (1) false or misleading statements had been made…

Theodore Hendrickus Franse of Fair Oaks California a stockbroker formerly employed by Independent Financial Group LLC is referenced in a customer initiated investment related written complaint which was settled on August 9, 2018 to resolve accusations of the customer being sold unsuitable real estate investment trust products while Franse was associated with Independent Financial Group…

Jeffrey Paul Schwebach of Dell Rapids South Dakota a stockbroker formerly registered with Independent Financial Group LLC has been suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings of Schwebach selling Woodbridge promissory notes away from Independent Financial Group LLC. Letter of…

Jon Richard Pariser of Pacific Grove California a stockbroker formerly registered with Independent Financial Group LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with FINRA’s investigation into Pariser’s referral of customers to an unregistered individual who…

William Aubrey Morrow of San Diego California a stockbroker formerly registered with Independent Financial Group LLC is referenced in a customer initiated investment related arbitration claim which was resolved for $100,000.00 in damages based upon accusations that (1) unregistered tenant in common investments had been sold to the customer (2) the customer’s account transactions lacked…

Rey Keith Frimmersdorf of Santa Rosa California a stockbroker formerly registered with Independent Financial Group LLC is the subject of a customer initiated investment related arbitration claim which was resolved for $160,000.00 in damages founded on allegations of (1) violation of California Corporate Securities Law (2) breach of fiduciary duty and (3) suitability in reference…

Steven William Kraut of Saint Anthony Minnesota a stockbroker formerly registered with Independent Financial Group LLC has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in undisclosed outside business activities. Letter of Acceptance Waiver…

John Paul Mazza of Shelby Township Michigan a stockbroker formerly registered with Independent Financial Group LLC is the subject of a customer initiated investment related written complaint on April 3, 3018 where the customer requested $5,000.00 in damages supported by accusations that Mazza mishandled the customer’s investment advisory account. Financial Industry Regulatory Authority (FINRA) Public…

Kyusun Kim of San Diego California a stockbroker formerly registered with Independent Financial Group LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that that he (1) made unsuitable investment recommendations to the firm’s senior customer base and (2) falsified information about…

Shawn Bruce Davis of Auburn California a stockbroker formerly registered with Independent Financial Group LLC is referenced in a customer initiated investment related arbitration claim where the customer requested more than $5,000.00 in estimated damages based upon accusations including (1) churning of the customer’s investment portfolio (2) violation of California Corporations Code (3) breach of…

Brian Joseph Lockett of Lynwood Washington a stockbroker currently employed by Independent Financial Group LLC is the subject of a customer initiated investment related complaint which was resolved for $45,000.00 in damages on July 27, 2016 supported by allegations that unapproved and unsuitable private investment and real estate investment trust transactions had been effected in…

Ernest James Cox of La Quinta California is a stockbroker formerly registered with Commonwealth Financial Network who is the subject of a customer initiated investment related written complaint which settled on November 28, 2016 for $15,000.00 in damages founded on allegations that the customer’s funds according to an options and equities strategy that was not…

Lyle J. Boudreaux of Houston Texas is a stockbroker currently registered with Independent Financial Group LLC who is subject of a customer initiated investment related written complaint on October 27 2017 in which the customer sought two hundred ten thousand dollars in damages founded on accusations that unsuitable leveraged exchange traded fund transactions were effected…

Dale Franklin Norton Jr., of Newhall, California, a former registered representative with Independent Financial Group, LLC, is the subject of a California Department of Insurance Order issued on July 27, 2017, revoking Norton’s insurance licensure according to Sections 1669(a)(I) and 1738 of the California Insurance Code, based upon Norton having pled nolo contendere to a…

Kyusun Kim, of San Diego, California, a stockbroker registered with Independent Financial Group, LLC, has been named in a customer initiated investment related arbitration claim, in which the customer alleged that Kim committed elder financial abuse, breached his contractual obligations, breached his fiduciary duties, and violated federal and state securities laws relating to structured products,…

Martin David Batstone, of San Diego, California, a stockbroker formerly registered with Independent Financial Group, LLC, has been named in a customer initiated investment related civil action, which settled on January 25, 2017, for $55,000.00 in damages based upon allegations that he failed to appropriately confirm the designation of beneficiaries on the customer’s investment accounts…

Matthew Lee Geiser, of Grand Island, Nebraska, a stockbroker formerly registered with Independent Financial Group, LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Geiser failed to cooperate in an investigation into allegations that he misstated information to customers about variable…

Kyusun Kim, of San Diego, California, a stockbroker formerly registered with Independent Financial Group, LLC, has been named in a customer initiated investment related arbitration claim on March 7, 2017, where the customer requested $350,000.00 in damages based upon allegations that Kim violated federal and state securities laws, breached his contractual and fiduciary duties, and…

Eric Alan Zakarin, of Westfield, New Jersey, a stockbroker formerly registered with Wells Fargo Advisors, has been named in a customer initiated investment related written complaint, which settled on June 28, 2016, for $3,719.53 in damages based upon allegations that Zakarin effected unauthorized mutual fund transactions in the customer’s account. Financial Industry Regulatory Authority (FINRA)…

Shimshon Plotkin, of Chevy Chase, Maryland, a stockbroker currently registered with Independent Financial Group, LLC, has been named in a customer initiated investment related arbitration claim on June 20, 2016, in which the customer requested $1,000,000.00 in damages based upon allegations that Plotkin effected unsuitable transactions in the customer’s account, breached his fiduciary and contractual…

Lyle J Boudreaux, of Houston, Texas, a stockbroker currently registered with Independent Financial Group, LLC, has been named in a customer initiated investment related written complaint on January 27, 2017, in which the customer requested $120,000.00 in damages based upon allegations that Boudreaux was liable for losses sustained by the customer in reference to exchange…

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…