Tag Archives: Independent Financial Group

Investors Sue Independent Financial Group

March 26, 2020  |   Posted by :   |   Inverse/Leveraged ETF Funds, Securities Arbitration Claims   |   Comments Off on Investors Sue Independent Financial Group

Lyle Jude Boudreaux of Houston Texas a stockbroker formerly associated with Independent Financial Group LLC has been referenced in a customer initiated investment related arbitration claim in which the customer requested $384,732.00 in damages supported by allegations that the stockbroker’s exchange traded fund transactions failed to be suitable for the customer. Financial Industry Regulatory Authority […]

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Independent Financial Group Stockbroker Fired

June 08, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Theodore Henrickus Franse, of Fair Oaks, California, a stockbroker registered with Independent Financial Group, has been terminated from employment on April 10, 2017, based upon allegations that he utilized customer information in a manner which was prohibited by the firm’s policies. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Franse has been identified in […]

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Liberty Partners Financial Services Named In Fraud Claim

February 02, 2017  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Brian J. Zimmerman, of San Diego, California, a stockbroker formerly registered with Liberty Partners Financial Services, LLC, has been named in a customer initiated investment related arbitration claim, in which the customer was awarded $20,000.00 in damages on March 14, 2016, based upon allegations that Zimmerman made misrepresentations and omissions to the customer, churned the […]

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