Independent Financial Group LLC

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/27/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069460001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Independent Financial Group, LLC (Respondent) Member Firm CRD No. 7717 Pursuant to FINRA Rule 9216, Respondent Independent Financial Group, LLC (IFG) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2021069460001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/08/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059223401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Independent Financial Group, LLC (Respondent) Member Firm CRD No. 7717 Pursuant to FINRA Rule 9216, Respondent Independent Financial Group, LLC (IFG) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018059223401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/23/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080627901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Independent Financial Group, LLC (Respondent) Member Firm CRD No. 7717 Pursuant to FINRA Rule 9216, Respondent Independent Financial Group, LLC, submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2023080627901finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/27/2025: From April to November 2022, IFG permitted a registered representative to continue associating with the firm during the period of his suspension when he was statutorily disqualified. Accordingly, IFG violated Article III, Section 3(b) ofFINRA's By-Laws and FINRA Rules 8311 and 2010. For these violations, IFG is censured and fined $100,000.
Reference 2023079071301data-portal.finra.org finra.org

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