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Broker John Heath Discharged and Facing Sanctions

John Heath

Minnesota-based Independent Financial Group broker John Heath is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Heath (CRD# 2331052).

John Heath has spent 22 years in the securities industry and was most recently registered with Independent Financial Group in Bloomington, Minnesota (2011-2016). Previous registrations include QA3 Financial Group in Bloomington, Minnesota (2001-2011); Royal Alliance Associates in New York, New York (1993-2001); and Gardner Financial Services in Minneapolis, Minnesota (1993). He is currently not registered with any state or firm.

According to his BrokerCheck report, John Heath is the subject of one regulatory investigation and one pending regulatory complaint, and was discharged from his position at Independent Financial Group.

In March 2016 John Heath was discharged from Independent Financial Group following allegations he “admitted to wrongful taking of… funds.”

In February 2016 John Heath was named in a complaint by the State of Minnesota Department of Commerce alleging he “engaged in dishonest and deceptive activities” while employed at Independent Financial Group. The action remains pending.

In February 2016 John Heath was named in an investigation by the State of Minnesota Department of Commerce alleging he violated Minnesota securities law by engaging in dishonest and deceptive conduct. The investigation remains pending.

If you or someone you know has a complaint regarding John Heath, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.

This information provided to the public by FINRA on April 4, 2015.