Category: Independent Financial Group

Did You Lose Money Because of Armando Roman?

Filed: March 18, 2024

Armando Roman currently has one (1) pending customer complaint. Overall, he has been the subject of three (3) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Armando G. Roman.

Who Is Armando G. Roman?

• Advisor Name: Armando G. Roman
• Aliases: Armando Roman
• CRD: 4414526
• Location: Scottsdale, Arizona
• Current Employer: Currently Not Registered
• Previous Firms: Independent Financial Group, LLC, J.W. Cole Financial, Inc., and H.D. Vest Investment Services
• Number of Known Customer Complaints: 3
• Can Armando Roman Be Sued: Yes, in Private Arbitration
• Can Armando Roman’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $3,500,000
• Highest Settlement: $1,000,000

If you have suffered investment losses by Armando Roman, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a margin call liquidations lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Armando Roman For Broker Misconduct

As of this publication date, Armando Roman has been the subject of 3 customer disputes. Let’s review them below.

In February 2023, a FINRA arbitration was filed against or in reference to Armando Roman by a customer of Independent Financial Group, LLC alleging that investment was not suitable. Per the customer, he/she lost over $100,000 because of Mr. Roman’s actions. As of this publication date, this claim remains pending.

In December 2022, a FINRA arbitration was filed against or in reference to Armando Roman by multiple customers of Independent Financial Group, LLC alleging that clients were overconcentrated in illiquid investments that were not suitable or in line with their stated objectives and risk tolerance. Per the customers, they lost over $343,475 because of Mr. Roman’s actions. On February 15, 2024, Mr. Roman settled the claim for $20,000, and some or all of this amount may have been paid by Mr. Roman’s employer and/or insurance carrier.

In April 2021, a FINRA arbitration was filed against or in reference to Armando Roman by a customer of Independent Financial Group, LLC alleging that accounts were over concentrated in speculative and illiquid investments that were not suitable. Per the customer, he/she lost over $3,500,000 because of Mr. Roman’s actions. An arbitration panel found that Armando Roman was negligent and awarded $1,000,000 in favor of the customers.

How To File A Claim Against Armando Roman (previously with Independent Financial Group, LLC, J.W. Cole Financial, Inc., and H.D. Vest Investment Services) To Get Your Money Back

If you have questions about Armando Roman, Independent Financial Group, LLC, J.W. Cole Financial, Inc., H.D. Vest Investment Services, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Yong Chang?

Filed: March 12, 2024

Yong Chang currently has three (3) pending customer complaints. Overall, he has been the subject of four (4) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Yong Seok Chang.

Who Is Yong Seok Chang of Independent Financial Group, LLC?

• Advisor Name: Yong Seok Chang
• Aliases: Yong Chang
• CRD: 4440739
• Location: Seattle, Washington
• Current Employer: Independent Financial Group, LLC
• Previous Firms: Prudential Financial Planning Services and Pruco Securities, LLC
• Number of Known Customer Complaints: 4
• Can Yong Chang Be Sued: Yes, in Private Arbitration
• Can Yong Chang’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $200,000
• Highest Settlement: $87,000

If you have suffered investment losses by Yong Chang, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Yong Chang For Broker Misconduct

As of this publication date, Yong Chang has been the subject of 4 customer disputes. Let’s review them below.

In November 2023, a FINRA arbitration was filed against or in reference to Yong Chang by a customer of Independent Financial Group, LLC alleging that the product was not suitable and was not in line with claimant’s investment objectives and risk tolerance. Per the customer, he/she lost over $45,000 because of Chang’s actions. As of this publication date, this claim remains pending.

In October 2023, a FINRA arbitration was filed against or in reference to Yong Chang by a customer of Independent Financial Group, LLC alleging that investment was not suitable, resulting in losses. Per the customer, he/she lost over $200,000 because of Chang’s actions. As of this publication date, this claim remains pending.

In February 2023, a FINRA arbitration was filed against or in reference to Yong Chang by a customer of Independent Financial Group, LLC alleging that the investment was not suitable. Per the customer, he/she lost over $25,000 because of Chang’s actions. As of this publication date, this claim remains pending.

In November 2021, a FINRA arbitration was filed against or in reference to Yong Chang by a customer of Independent Financial Group, LLC alleging that investments were not suitable and were not in line with client’s investment objectives. Per the customer, he/she lost over $150,000 because of Chang’s actions. On May 22, 2023, Chang settled the claim for $87,000, and some or all of this amount may have been paid by Chang’s employer and/or insurance carrier.

How To File A Claim Against Yong Chang of Independent Financial Group, LLC (previously with Prudential Financial Planning Services and Pruco Securities, LLC) To Get Your Money Back

If you have questions about Yong Chang, Independent Financial Group, LLC, Prudential Financial Planning Services, Pruco Securities, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Cynthia Couyoumjian?

Filed: March 12, 2024

Cynthia Couyoumjian (also known as Cynthia Mary Koczkodan) currently has one (1) pending customer complaint. Overall, he has been the subject of fourteen (14) customer complaints and three (3) regulatory event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Cynthia Mary Couyoumjian.

Who Is Cynthia Mary Couyoumjian of Independent Financial Group, LLC?

• Advisor Name: Cynthia Mary Couyoumjian
• Aliases: Cynthia Mary Koczkodan
• CRD: 1456630
• Location: Tustin, California
• Current Employer: Independent Financial Group, LLC
• Previous Firms: First Allied Securities, Inc. and Linsco/Private Ledger Corp.
• Number of Known Customer Complaints: 14
• Number of Known Regulatory Events: 3
• Can Cynthia Couyoumjian Be Sued: Yes, in Private Arbitration
• Can Cynthia Couyoumjian’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $9,000,000
• Highest Settlement: $2,000,000

If you have suffered investment losses by Cynthia Couyoumjian, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a failure to supervise lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Cynthia Couyoumjian For Broker Misconduct

As of this publication date, Cynthia Couyoumjian has been the subject of 14 customer disputes and 3 regulatory events. Let’s review them below.

In February 2023, a FINRA arbitration was filed against or in reference to Cynthia Couyoumjian by a customer of Independent Financial Group, LLC alleging that investment was not suitable. Per the customer, he/she lost over $136,900 because of Ms. Couyoumjian’s actions. As of this publication date, this claim remains pending.

In June 2021, a FINRA arbitration was filed against or in reference to Cynthia Couyoumjian by a customer of Independent Financial Group, LLC alleging that investments were not suitable. Per the customer, he/she lost over $5,001 because of Ms. Couyoumjian’s actions. On July 10, 2023, Ms. Couyoumjian settled the claim for $550,000, and some or all of this amount may have been paid by Ms. Couyoumjian’s employer and/or insurance carrier.

In March 2018, a complaint was filed against or in reference to Cynthia Couyoumjian by a customer of Independent Financial Group, LLC alleging that the client was not aware of tax liability on an unsolicited sell order in March 2018. Per the customer, he lost over $13,875 because of Ms. Couyoumjian’s actions. On April 18, 2018, Ms. Couyoumjian settled the claim for $13,875, and some or all of this amount may have been paid by Ms. Couyoumjian’s employer and/or insurance carrier.

In March 2015, a FINRA arbitration was filed against or in reference to Cynthia Couyoumjian by multiple customers of First Allied Securities, Inc. alleging that Ms. Couyoumjian recommended and sold them unsuitable investments. Based on these allegations, claimants asserted the following: breach of contract, breach of implied warranty, negligence, negligent supervision, common law fraud, unsuitable trading and violations of federal and finra rules from 2005-2010. Per the customers, they lost over $500,000 because of Ms. Couyoumjian’s actions. On October 11, 2016, Ms. Couyoumjian settled the claim for $90,000, and some or all of this amount may have been paid by Ms. Couyoumjian’s employer and/or insurance carrier.

In July 2014, a FINRA arbitration was filed against or in reference to Cynthia Couyoumjian by a customer of First Allied Securities, Inc. alleging that Ms. Couyoumjian made unsuitable recommendations and misrepresentations when recommending and selling investments. Per the customer, he/she lost over $161,128 because of Ms. Couyoumjian’s actions. On June 10, 2015, Ms. Couyoumjian settled the claim for $50,000, and some or all of this amount may have been paid by Ms. Couyoumjian’s employer and/or insurance carrier.

In May 2014, a FINRA arbitration was filed against or in reference to Cynthia Couyoumjian by a customer of First Allied Securities, Inc. alleging unsuitable investments, misrepresentation, violation of FINRA rules 2010, IM-2310-2 and 2020, violation of CA Consumer Legal Remedies Act, violation of Sec 11 of the Securities Act of 1933 with respect to activities from 2005-2008. Per the customer, he/she lost over $340,000 because of Ms. Couyoumjian’s actions. On June 10, 2015, Ms. Couyoumjian settled the claim for $45,000, and some or all of this amount may have been paid by Ms. Couyoumjian’s employer and/or insurance carrier.

In April 2014, a FINRA arbitration was filed against or in reference to Cynthia Couyoumjian by multiple customers of First Allied Securities, Inc. alleging unsuitability, breach of fiduciary duty, and misrepresentation in 2006. Per the customers, they lost over $9,000,000 because of Ms. Couyoumjian’s actions. On June 10, 2015, Ms. Couyoumjian settled the claim for $2,000,000, and some or all of this amount may have been paid by Ms. Couyoumjian’s employer and/or insurance carrier.

In July 2013, a FINRA arbitration was filed against or in reference to Cynthia Couyoumjian by multiple customers of First Allied Securities, Inc. alleging common law negligent misrepresentation & omission, unsuitable investments, violation of fiduciary obligations, negligence, selling away, and violations of state and federal securities laws. Per the customers, they lost over $2,000,000 because of Ms. Couyoumjian’s actions. On February 24, 2014, Ms. Couyoumjian settled the claim for $417,500, and some or all of this amount may have been paid by Ms. Couyoumjian’s employer and/or insurance carrier.

In July 2012, a FINRA arbitration was filed against or in reference to Cynthia Couyoumjian by a customer of First Allied Securities, Inc. alleging violations of federal securities laws, violations of CA securities laws, CA unfair, unlawful and fraudulent business practices, breach of contract, common law fraud, breach of fiduciary duty, and negligence from May 2007 to April 2009. Per the customer, he/she lost over $122,400 because of Ms. Couyoumjian’s actions. On October 22, 2013, Ms. Couyoumjian settled the claim for $71,000, and some or all of this amount may have been paid by Ms. Couyoumjian’s employer and/or insurance carrier.

In December 2010, a FINRA arbitration was filed against or in reference to Cynthia Couyoumjian by a customer of First Allied Securities, Inc. alleging breach of fiduciary duty, negligence and fraud in connection with a Tenants In Common Investment (“TIC”) made in April 2006. Per the customer, he/she lost over $750,000 because of Ms. Couyoumjian’s actions. On December 14, 2010, Ms. Couyoumjian settled the claim for $250,000, and some or all of this amount may have been paid by Ms. Couyoumjian’s employer and/or insurance carrier.

In November 2008, a FINRA arbitration was filed against or in reference to Cynthia Couyoumjian by a customer of LPL Financial and First Allied Securities, Inc. alleging negligence, misrepresentation and fraud, suitability, among others in connection with Ms. Couyoumjian’s recommendation to: 1. Switch her annuities and rollover funds under third party management thereby charging excessive fees and commissions. 2. Liquify the equity in her primary residence to purchase residential properties in Texas. The time periods involved are March 2004 to October 2008. Per the customer, she lost over $677,789.57 because of Ms. Couyoumjian’s actions. On December 2, 2009, Ms. Couyoumjian settled the claim for $96,000, and some or all of this amount may have been paid by Ms. Couyoumjian’s employer and/or insurance carrier.

In November 2006, Illinois initiated a regulatory action against or in reference to Cynthia Couyoumjian after respondent’s application for registration as a salesperson in the state of Illinois is denied pursuant to section 8.e.(i)(j) of the Illinois securities law.

In May 2006, Ohio initiated a regulatory action against or in reference to Cynthia Couyoumjian for allegedly lacking good business repute.

In January 2006, NASD initiated a regulatory action against or in reference to Cynthia Couyoumjian after respondent’s application for disseminating advertising and sales literature without prior approval by a registered principal of an NASD member firm and failed to file the advertising and sales literature with NASD’s advertising regulation department within 10 business days of first use or publication.

In December 2004, a NASD arbitration was filed against or in reference to Cynthia Couyoumjian by multiple customers of Equitable Life Assurance Society of the United States alleging negligence, misrepresentation & breach of fiduciary duty in connection with the unsuitable recommendations to claimants in May, 2001. Per the customers, they lost over $80,000 because of Ms. Couyoumjian’s actions. On November 22, 2005, Ms. Couyoumjian settled the claim for $30,000, and some or all of this amount may have been paid by Ms. Couyoumjian’s employer and/or insurance carrier.

In November 2002, a complaint was filed against or in reference to Cynthia Couyoumjian by a customer of Equitable Life alleging that the client was misguided and not given enough information during the sale of mutual funds in 2002.

In May 1999,  a complaint was filed against or in reference to Cynthia Couyoumjian by a customer of Equitable Life alleging that the client would not have purchased a 1994 issue variable life insurance policy if it was explained to her. The client also alleges funds were transferred within a variable annuity with no apparent benefit to her.

How To File A Claim Against Cynthia Couyoumjian of Independent Financial Group, LLC (previously with First Allied Securities, Inc. and Linsco/Private Ledger Corp.) To Get Your Money Back

If you have questions about Cynthia Couyoumjian, Independent Financial Group, LLC, First Allied Securities, Inc., Linsco/Private Ledger Corp., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Charles Weldon?

Filed: March 12, 2024

Charles Weldon (also known as C. Raymond Weldon) currently has three (3) pending customer complaints. Overall, he has been the subject of four (4) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Charles Raymond Weldon.

Who Is Charles Raymond Weldon of Independent Financial Group, LLC?

• Advisor Name: Charles Raymond Weldon
• Aliases: C. Raymond Weldon
• CRD: 1030659
• Location: Boca Raton, Florida
• Current Employer: Independent Financial Group, LLC
• Previous Firms: Weldon & Company, The Investment Center, Inc., and Cetera Advisor Networks LLC
• Number of Known Customer Complaints: 4
• Can Charles Weldon Be Sued: Yes, in Private Arbitration
• Can Charles Weldon’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $1,000,000
• Highest Settlement: $51,452

If you have suffered investment losses by Charles Weldon, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a failure to supervise lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Charles Weldon For Broker Misconduct

As of this publication date, Charles Weldon has been the subject of 4 customer disputes. Let’s review them below.

In July 2023, a FINRA arbitration was filed against or in reference to Charles Weldon by multiple customers of Cetera Advisor Networks LLC alleging breach of fiduciary duty, negligence, misrepresentation and failure to supervise. Per the customers, they lost over $1,000,000 because of Mr. Weldon’s actions. As of this publication date, this claim remains pending.

In March 2023, a FINRA arbitration was filed against or in reference to Charles Weldon by multiple customers of Cetera Advisor Networks LLC alleging that they lost money as a result of the investment strategy utilized by the representative. Per the customers, they lost over $500,000 because of Mr. Weldon’s actions. As of this publication date, this claim remains pending.

In March 2023, a FINRA arbitration was filed against or in reference to Charles Weldon by multiple customers of Cetera Advisor Networks LLC alleging that their portfolios were overconcentrated in similar securities which resulted in losses. Per the customers, they lost over $5,001 because of Mr. Weldon’s actions. As of this publication date, this claim remains pending.

In June 2015, a FINRA arbitration was filed against or in reference to Charles Weldon by a customer of Girard Securities, Inc. alleging unsuitable transactions, breach of fiduciary duty, negligence, and failure to supervise. Per the customer, he/she lost over $335,000 because of Mr. Weldon’s actions. On December 2, 2016, Mr. Weldon settled the claim for $51,452, and some or all of this amount may have been paid by Mr. Weldon’s employer and/or insurance carrier.

How To File A Claim Against Charles Weldon of Independent Financial Group, LLC (previously with Weldon & Company, The Investment Center, Inc., and Cetera Advisor Networks LLC) To Get Your Money Back

If you have questions about Charles Weldon, Independent Financial Group, LLC, Weldon & Company, The Investment Center, Inc., Cetera Advisor Networks LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Jammie Avila?

Filed: March 4, 2024

Jammie Avila has been the subject of three (3) customer complaints, one (1) regulatory event, and one (1) judgment/lien event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Jammie Nakia Avila.

Who Is Jammie Nakia Avila of Independent Financial Group, LLC?

• Advisor Name: Jammie Nakia Avila
• Aliases: Jammie Avila
• CRD: 3100097
• Location: Henderson, Nevada
• Current Employer: Independent Financial Group, LLC
• Previous Firms: Kalos Capital, Inc.
• Number of Known Customer Complaints: 3
• Number of Known Regulatory Events: 1
• Number of Known Judgment/Lien Events: 1
• Can Jammie Avila Be Sued: Yes, in Private Arbitration
• Can Jammie Avila’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $152,508
• Highest Settlement: $20,000

If you have suffered investment losses by Jammie Avila, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Jammie Avila For Broker Misconduct

As of this publication date, Jammie Avila has been the subject of 3 customer disputes, 1 regulatory event, and 1 judgment/lien event. Let’s review them below.

In April 2023, a FINRA arbitration was filed against or in reference to Jammie Avila by a customer of Kalos Capital, Inc. alleging various and non-various breach of fiduciary duty. On September 19, 2023, Avila settled the claim for $13,000, and some or all of this amount may have been paid by Avila’s employer and/or insurance carrier.

In June 2021, a complaint was filed against or in reference to Jammie Avila by a customer of Kalos Capital, Inc. alleging unsuitable transactions. Per the customer, he/she lost over $40,000 because of Avila’s actions. On August 2, 2021, Avila settled the claim for $20,000, and some or all of this amount may have been paid by Avila’s employer and/or insurance carrier.

In June 2021, a complaint was filed against or in reference to Jammie Avila by a customer of Kalos Capital, Inc. alleging Breach of Fiduciary duty and over concentration in high risk securities. Per the customer, he/she lost over $152,508 because of Avila’s actions. On December 11, 2021, Avila settled the claim for $18,000, and some or all of this amount may have been paid by Avila’s employer and/or insurance carrier.

In April 2021, Jammie Avila was the subject of a civil judgment or lien in the amount of $33,799.34. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.

In June 2008, North Dakota initiated a regulatory action against or in reference to Jammie Avila for selling unregistered securities in North Dakota.

How To File A Claim Against Jammie Avila of Independent Financial Group, LLC (previously with Kalos Capital, Inc.) To Get Your Money Back

If you have questions about Jammie Avila, Independent Financial Group, LLC, Kalos Capital, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Lawrence Napolitano?

Filed: March 4, 2024

Lawrence Napolitano has been the subject of three (3) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Lawrence Anthony Napolitano.

Who Is Lawrence Anthony Napolitano of Independent Financial Group, LLC?

• Advisor Name: Lawrence Anthony Napolitano
• Aliases: Lawrence Napolitano
• CRD: 4921500
• Location: Henderson, Nevada
• Current Employer: Independent Financial Group, LLC
• Previous Firms: Kalos Management, Kalos Capital, Inc., and Sammons Securities Company, LLC
• Number of Known Customer Complaints: 3
• Can Lawrence Napolitano Be Sued: Yes, in Private Arbitration
• Can Lawrence Napolitano’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $40,000
• Highest Settlement: $40,000

If you have suffered investment losses by Lawrence Napolitano, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Lawrence Napolitano For Broker Misconduct

As of this publication date, Lawrence Napolitano has been the subject of 3 customer disputes. Let’s review them below.

In April 2023, a FINRA arbitration was filed against or in reference to Lawrence Napolitano by a customer of Kalos Capital, Inc. alleging various and non-various breach of fiduciary duty. On September 19, 2023, Mr. Napolitano settled the claim for $13,000, and some or all of this amount may have been paid by Mr. Napolitano’s employer and/or insurance carrier.

In June 2020, a complaint was filed against or in reference to Lawrence Napolitano by a customer of Kalos Capital, Inc. alleging unsuitable transactions. Per the customer, he/she lost over $40,000 because of Mr. Napolitano’s actions. On June 15, 2020, Mr. Napolitano settled the claim for $40,000, and some or all of this amount may have been paid by Mr. Napolitano’s employer and/or insurance carrier.

In December 2011, a complaint was filed against or in reference to Lawrence Napolitano by a customer of Sammons Securities Company, LLC alleging that during the underwriting process, Mr. Napolitano forged a part of the medical exam.

How To File A Claim Against Lawrence Napolitano of Independent Financial Group, LLC (previously with Kalos Management, Kalos Capital, Inc., and Sammons Securities Company, LLC) To Get Your Money Back

If you have questions about Lawrence Napolitano, Independent Financial Group, LLC, Kalos Management, Kalos Capital, Inc., Sammons Securities Company, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Stewart Ginn?

Filed: February 15, 2024

Stewart Ginn (also known as Stewart Taylor and Paxton Ginn Jr.) currently has one (1) pending regular event and four (4) pending customer complaints. Overall, he has been the subject of six (6) customer complaints and one (1) regulatory event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Stewart Ginn.

Who Is Stewart Ginn of Independent Financial Group, LLC?

• Advisor Name: Stewart Ginn
• Aliases: Stewart Taylor, Paxton Ginn Jr.
• CRD: 4503197
• Location: Santa Maria, California
• Current Employer: Independent Financial Group, LLC
• Previous Firms: Navian Capital Securities LLC, Newbridge Securities Corporation, and Chicago Investment Group, LLC
• Number of Known Customer Complaints: 6
• Number of Known Regulatory Events: 1
• Can Stewart Ginn Be Sued: Yes, in Private Arbitration
• Can Stewart Ginn’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $1,618,000
• Highest Settlement: $400,000

If you have suffered investment losses by Stewart Ginn, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Stewart Ginn For Broker Misconduct

As of this publication date, Stewart Ginn has been the subject of 6 customer disputes and 1 regulatory event. Let’s review them below.

In December 2023, a FINRA arbitration was filed against or in reference to Stewart Ginn by a customer of Independent Financial Group, LLC alleging breach of fiduciary duty, negligence, negligent misrepresentation, negligent supervision, breach of contract, churning, excessive trading, fraud and deceit, and unfair business practices/unfair competition. Per the customer, he/she lost over $1,618,000 because of Mr. Ginn’s actions. As of this publication date, this claim remains pending.

In October 2023, a FINRA arbitration was filed against or in reference to Stewart Ginn by a customer of Independent Financial Group, LLC alleging that investment was not suitable. Per the customer, he/she lost over $250,000 because of Mr. Ginn’s actions. As of this publication date, this claim remains pending.

In October 2023, FINRA initiated a regulatory action against or in reference to Stewart Ginn for allegedly churning and excessively trading customer accounts.

In September 2023, a FINRA arbitration was filed against or in reference to Stewart Ginn by a customer of Independent Financial Group, LLC alleging that investments were not suitable in light of the claimant’s age. Per the customer, he/she lost over $1,400,000 because of Mr. Ginn’s actions. As of this publication date, this claim remains pending.

In March 2023, a FINRA arbitration was filed against or in reference to Stewart Ginn by a customer of Independent Financial Group, LLC alleging that accounts were subject to excessive commission charges. Per the customer, he/she lost over $120,000 because of Mr. Ginn’s actions. As of this publication date, this claim remains pending.

In December 2022, a FINRA arbitration was filed against or in reference to Stewart Ginn by a customer of Independent Financial Group, LLC alleging that commissions were excessive, that the investments in the client’s account were unsuitable, and that sales in her account resulted in significant profit which, in turn, created capital gains and a tax liability. Per the customer, she lost over $1,300,000 because of Mr. Ginn’s actions. On September 11, 2023, Mr. Ginn settled the claim for $400,000, and some or all of this amount may have been paid by Mr. Ginn’s employer and/or insurance carrier.

In June 2007, a complaint was filed against or in reference to Stewart Ginn by a customer of Chicago Investment Group alleging suitability and mismanagement. Per the customer, he/she lost over $8,800 because of Mr. Ginn’s actions.

How To File A Claim Against Stewart Ginn of Independent Financial Group, LLC (previously with Navian Capital Securities LLC, Newbridge Securities Corporation, and Chicago Investment Group, LLC) To Get Your Money Back

If you have questions about Stewart Ginn, Independent Financial Group, LLC, Navian Capital Securities LLC, Newbridge Securities Corporation, Chicago Investment Group, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

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Did You Lose Money Because of Mark Militello?

Filed: November 15, 2023

Mark Militello has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Mark Angelo Militello.

Who Is Mark Angelo Militello of Independent Financial Group, LLC?

• Advisor Name: Mark Angelo Militello
• Aliases: Mark Militello
• CRD: 4075608
• Location: Corpus Christi, Texas
• Current Employer: Independent Financial Group, LLC
• Previous Firms: Cetera Advisor Network LLC and Girard Securities, Inc.
• Number of Known Customer Complaints: 1
• Can Mark Militello Be Sued: Yes, in Private Arbitration
• Can Mark Militello’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: Unknown

If you have suffered investment losses by Mark Militello, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a churning lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Mark Militello For Broker Misconduct

As of this publication date, Mark Militello has been the subject of 1 customer dispute. Let’s review it below.

In March 2020, a complaint was filed against or in reference to Mark Militello by multiple customers of Cetera Advisor Networks LLC alleging that Mr. Militello did not follow the clients’ instructions to move their investments to cash.

How To File A Claim Against Mark Militello of Independent Financial Group, LLC  (previously with Cetera Advisor Network LLC and Girard Securities, Inc.) To Get Your Money Back.

If you have questions about Mark Militello,cIndependent Financial Group, LLC, Cetera Advisor Network LLC, Girard Securities, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.

Did You Lose Money Because of Jim Franklin?

Filed: November 15, 2023

Jim Franklin has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on James A. Franklin.

Who Is James A. Franklin of Independent Financial Group, LLC?

• Advisor Name: James A. Franklin
• Aliases: Jim Franklin
• CRD: 4799613
• Location: Houston, Texas
• Current Employer: Independent Financial Group, LLC
• Previous Firms: Cetera Advisor Networks LLC and 1st Global Advisors LLC
• Number of Known Customer Complaints: 2
• Can Jim Franklin Be Sued: Yes, in Private Arbitration
• Can Jim Franklin’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $50,000
• Highest Settlement: $21,250

If you have suffered investment losses by Jim Franklin, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Jim Franklin For Broker Misconduct

As of this publication date, Jim Franklin has been the subject of 2 customer disputes. Let’s review them below.

In November 2020, a FINRA arbitration was filed against or in reference to Jim Franklin by a customer of Investors Capital Corporation alleging unsuitable investment recommendations. On August 20 2021, Mr. Franklin settled the claim for $21,250, and some or all of this amount may have been paid by Mr. Franklin’s employer and/or insurance carrier.

In April 2017, a complaint was filed against or in reference to Jim Franklin by a customer of Investors Capital Corporation alleging misrepresentation of the liquidity time frame associated with investments made in or about March 2015. Per the customer, he/she lost over $50,000 because of Mr. Franklin’s actions.

How To File A Claim Against Jim Franklin of Independent Financial Group, LLC (previously with Cetera Advisor Networks LLC and 1st Global Advisors LLC) To Get Your Money Back.

If you have questions about Jim Franklin, Independent Financial Group, LLC, Cetera Advisor Networks LLC, 1st Global Advisors LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.

Did You Lose Money Because of John Dixon?

Filed: November 15, 2023

John Dixon currently has one (1) pending customer complaint. Overall, he has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on John Charles Dixon.

Who Is John Charles Dixon of Independent Financial Group, LLC?

• Advisor Name: John Charles Dixon
• Aliases: John C Dixon
• CRD: 4239339
• Location: Pocatello, Idaho
• Current Employer: Independent Financial Group, LLC
• Previous Firms: LPL Financial LLC and Bancwest Investment Services, Inc.
• Number of Known Customer Complaints: 2
• Can John Dixon Be Sued: Yes, in Private Arbitration
• Can John Dixon’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $250,000
• Highest Settlement: $21,500

If you have suffered investment losses by John Dixon, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against John Dixon For Broker Misconduct

As of this publication date, John Dixon has been the subject of 2 customer disputes. Let’s review them below.

In November 2022, a FINRA arbitration was filed against or in reference to John Dixon by a customer of LPL Financial LLC and Independent Financial Group, LLC alleging misrepresentation and suitability. Per the customer, he/she lost over $250,000 because of Mr. Dixon’s actions. As of this publication date, this claim remains pending.

In June 2019, a FINRA arbitration was filed against or in reference to John Dixon by a customer of LPL Financial LLC alleging that a variety of investments were unsuitable and that LPL failed to meet due diligence requirements. The client also alleges fraud, misrepresentation, breach of fiduciary duty, negligent failure to supervise and negligence on behalf of respondent. Per the customer, he/she lost over $100,000 because of Mr. Dixon’s actions. On June 30, 2020, Mr. Dixon settled the claim for $21,500, and some or all of this amount may have been paid by Mr. Dixon’s employer and/or insurance carrier.

How To File A Claim Against John Dixon of Independent Financial Group, LLC (previously with LPL Financial LLC and Bancwest Investment Services, Inc.) To Get Your Money Back.

If you have questions about John Dixon, Independent Financial Group, LLC, LPL Financial LLC, Bancwest Investment Services, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.