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Independent Financial Group (IFG)

October 05, 2018 IFG's Jon Pariser Barred During Investigation into Unsuitable Investments, Referral to Unlicensed Agent
June 27, 2018 Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts
January 30, 2023 SoCal Broker Jay Eng Cited for Impersonating Customer in Call with Annuity Company
April 12, 2021 Independent Financial Group Disciplined Over Concentrated Illiquid REIT Sales, Supervisory Failures
February 22, 2020 IFG Broker Martin David Batstone Barred for Fraud After Converting Client Funds
October 08, 2019 IFG Broker Martin Batstone Accused of Fraud, Converting Customers' Private Securities Funds for Personal Use
October 04, 2019 James Lamont Sanctioned for Selling $1.5 Million of Notes in Fraudulent Woodbridge Ponzi Scheme
January 08, 2018 John William Bernard Sanctioned for Unauthorized Exercise of Discretion at LPL Financial
October 25, 2017 SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints
July 21, 2017 AXA Advisors' Chad Hornaday Barred for Selling Away and Borrowing Money from Client
June 16, 2017 Ex-IFG and Centaurus Broker Calvin Moores Barred After FINRA Investigation, OTC Dispute Alleging Fraud, Complaint Alleging Elder Abuse
August 03, 2016 SoCal Broker Brian Egan Barred for Failing to Disclose 87 Brokerage Accounts at an Outside Firm
July 21, 2016 Bernard McGee Barred for Fraudulent Annuity Sales, Lying About Surrendering Elderly Client's VA for Charitable Gift Annuity