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Recent Posts in Independent Financial Group (IFG) Category

IFG's Jon Pariser Barred During Investigation into Unsuitable Investments, Referral to Unlicensed Agent

FINRA barred former Independent Financial Group (Pacific Grove, CA) broker Jon Richard Pariser after he failed to cooperate with an investigation into allegations surrounding the recommendation or ...
Continue reading "IFG's Jon Pariser Barred During Investigation into Unsuitable Investments, Referral to Unlicensed Agent" »

Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts

FINRA barred former Independent Financial Group and Sandlapper Securities, broker Kyusun Kim for unsuitably recommending that a number of elderly and retiring customers liquidate their 401(k) and ...
Continue reading "Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts" »

John William Bernard Sanctioned for Unauthorized Exercise of Discretion at LPL Financial

FINRA fined and suspended former LPL Financial and Independent Financial Group broker John William "Bill" Bernard for improperly exercising discretion while associated with LPL Financial of ...
Continue reading "John William Bernard Sanctioned for Unauthorized Exercise of Discretion at LPL Financial" »

SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints

A Securities Litigation & Consulting Group (SLCG) study ranked brokerage firms based on broker complaint history, finding that nearly one quarter of all brokers employed by Aegis Capital Corp and ...
Continue reading "SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints" »

AXA Advisors' Chad Hornaday Barred for Selling Away and Borrowing Money from Client

FINRA barred former AXA Advisors (Carlsbad, CA) representative Chad Daniel Hornaday for failing to provide requested information in connection with an investigation into allegations that he received ...
Continue reading "AXA Advisors' Chad Hornaday Barred for Selling Away and Borrowing Money from Client" »

Ex-IFG and Centaurus Broker Calvin Moores Barred After FINRA Investigation, OTC Dispute Alleging Fraud, Complaint Alleging Elder Abuse

FINRA barred former Centaurus Financial Inc. (Fullerton, CA) and Independent Financial Group (Brea, CA) broker Calvin Edward Moores after he failed to cooperate with an investigation into allegations ...
Continue reading "Ex-IFG and Centaurus Broker Calvin Moores Barred After FINRA Investigation, OTC Dispute Alleging Fraud, Complaint Alleging Elder Abuse" »

SoCal Broker Brian Egan Barred for Failing to Disclose 87 Brokerage Accounts at an Outside Firm

FINRA barred former Independent Financial Group broker Brian James Egan of the firm's Laguna Niguel, CA branch for failing to disclose 87 outside brokerage accounts he either owned, controlled, or ...
Continue reading "SoCal Broker Brian Egan Barred for Failing to Disclose 87 Brokerage Accounts at an Outside Firm" »

Bernard McGee Barred for Fraudulent Annuity Sales, Lying About Surrendering Elderly Client's VA for Charitable Gift Annuity

FINRA barred broker Bernard Gregory McGee of Independent Financial Group for his role in advising an elderly client to surrender four variable annuity (VA) policies—incurring over $37k in ...
Continue reading "Bernard McGee Barred for Fraudulent Annuity Sales, Lying About Surrendering Elderly Client's VA for Charitable Gift Annuity" »
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