Sharon Green, Regency Wealth Broker, Suspended by FINRA
Sharon Green (CRD# 1269522), a broker registered with Independent Financial Group, improperly engaged in an outside business activity, according to a recent disciplinary action. MDF Law is investigating the Elm Grove, Illinois-based financial professional, who does business as Regency Wealth Partners, for similar conduct. Investors with concerns about their accounts should reach out for a […]
Stewart Ginn Allegedly Churned Client Accounts
Stewart Ginn (CRD# 4503197), a broker registered with Independent Financial Group, churned investments, according to a FINRA sanction. MDF Law is investigating the Santa Maria, California-based financial professional for similar conduct. If you have concerns about your accounts, contact us for a free consultation. More information about the allegations against Mr. Ginn follows below. This […]
Kirk Badii Involved in $3 Million Complaint
Southlake, Texas broker Kirk Badii (CRD# 5829768) is involved in a pending customer dispute alleging his investment recommendations led to $3 million in damages. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on March 17, 2022, he is a representative of Badii Wealth Management, which offers securities through Independent Financial Group. Investor […]
Investor Files $1 Million Complaint Involving Daniel Loy of Independent Financial Group
Daniel Loy (CRD# 3029654) is the recipient of customer complaints, according to Financial Industry Regulatory Authority (FINRA) records accessed on November 5, 2021. The Milpitas, California broker/adviser is currently affiliated with Independent Financial Group. He was previously registered with Voya Financial Group. If you have complaints regarding Mr. Loy, call MDF Law at 800-767-8040 for […]