Independent Financial Group – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Independent Financial Group. If you suffered losses investing with Independent Financial Group, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Independent Financial Group (CRD# 7717) (SEC# 8-22870)
As of August 24, 2016, Independent Financial Group’s FINRA BrokerCheck Report contains the following:
5 Regulatory Event Disclosures
0 Civil Event Disclosures
1 Arbitration Disclosures
1 Bond Disclosures
Main Office Location
12671 HIGH BLUFF DRIVE
SUITE 200
SAN DIEGO, CA 92130
Mailing Address
12671 HIGH BLUFF DRIVE
SUITE 200
SAN DIEGO, CA 92130
Business Telephone Number
858-436-3180
Direct Owners and Executive Officers
INDEPENDENT FINANCIAL GROUP, INC. – OWNER
FISCHER, DAVID ALLEN (CRD# 1634222) – MANAGING DIRECTOR
HEISING, SCOTT ALLEN (CRD# 2192259) – MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP
MILLER, JOE HENRY JR (CRD# 1172989) – MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER
MYERS, MARIA BONA (CRD# 2772133) – CHIEF COMPLIANCE OFFICER/ROSFP
PEARSON, TROY DALE (CRD# 2413897) – ROSFP
WAITMAN, CONSTANCE COOK (CRD# 1448191) – VICE PRESIDENT, OPERATIONS
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Independent Financial Group and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
