Articles Tagged with Independent Financial Group

John Cione

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 25, 2018 indicate that California-based Independent Financial Group broker/adviser John Cione has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cione (CRD# 1742561).

John Cione has spent 31 years in the securities industry and has been registered with Independent Financial Group in San Diego, California since 2003. Previous registrations include Sentra Securities Corporation in Phoenix, Arizona (1994-2003); Spelman & Company in Phoenix, Arizona (1995-1997); Foresters Equity Services in San Diego, California (1990-1995); LAM Wagner in La Jolla, California (1993-1994); Aimco Securities Company (1987-1992); and Yaeger Securities (1987-1992). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 22, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 18, 1987; Series 7 (General Securities Representative Examination), which he obtained on September 19, 1987; Series 24 (General Securities Principal Examination), which he obtained on April 27, 1998; and Series 27 (Financial and Operations Principal Examination), which he obtained on August 5, 1988. He is a registered broker and investment adviser with ten US states: Arizona, California, Connecticut, Massachusetts, Montana, New Jersey, New York, North Carolina, Texas, and Washington.

According to his BrokerCheck report, he has received one pending customer complaint and one regulatory sanction.

John MazzaPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 25, 2018 indicate that former Michigan-based Independent Financial Group broker/adviser John Mazza has been involved in customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mazza (CRD# 4299467).

John Mazza has spent 17 years in the securities industry and was most recently registered with Independent Financial Group in Shelby Township, Michigan (2010-2018). Previous registrations include AFA Financial Group in Calabasas, California (2009-2010); UBS Financial Services in Scottsdale, Arizona (2005-2009); Citigroup Global Markets in New York, New York (2003-2005); and Merrill Lynch in New York, New York (2000-2003). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on January 10, 2001, and Series 7 (General Securities Representative Examination), which he obtained on December 20, 2000. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints and two denied customer complaints.

Jeffrey NessethPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 25, 2018 indicate that Texas-based Independent Financial Group broker/adviser Jeffrey Nesseth has received several pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Nesseth (CRD# 1983482).

Jeffrey Nesseth has spent 28 years in the securities industry and has been registered with Independent Financial Group in Plano, Texas since 2011. Previous registrations include Allied Beacon Partners in Atlanta, Georgia (2011); Girard Securities in San Diego, California (2011); QA3 Financial Corporation in Atlanta, Georgia (2004-2011); Main Street Management Company in Boston, Massachusetts (2003-2004); Wachovia Securities in St. Louis, Missouri (2002-2003); and Morgan Stanley DW in Purchase, New York (1990-2002). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 19, 2008; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 9, 1990; Series 7 (General Securities Representative Examination), which he obtained on April 21, 1990; and Series 3 (National Commodity Futures Examination), which he obtained on August 30, 1989. He is a registered broker and investment adviser with nine US states: California, Colorado, Florida, Georgia, Illinois, Missouri, Texas, Utah, and Washington.

According to his BrokerCheck report, he has received one customer complaint, two pending customer complaints, and one denied customer complaint.

Jerry Tuma

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 28, 2017 indicate that Texas-based Independent Financial Group broker/adviser Jerry Tuma has been named in a pending civil complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Tuma (CRD# 730104).

Jerry Tuma has spent 35 years in the securities industry and has been registered with Independent Financial Group in Dallas, Texas since 2012. Previous registrations include Cambridge Legacy Services in Dallas, Texas; AIG Financial Advisors in Dallas, Texas; SunAmerica Securities in Phoenix, Arizona; Anchor National Financial Services; and Waddell & Reed. He is a registered broker and investment adviser with 27 US states and territories.

According to his BrokerCheck report, he has received one customer complaint and one pending civil complaint.

 Lyle Boudreaux Publicly available records provided by the Financial Industry Regulatory Authority and accessed on July 27, 2017 indicate that Texas-based Independent Financial Group broker/adviser Lyle Boudreaux has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Boudreaux (CRD# 4303420).

Lyle Boudreaux has spent 12 years in the securities industry and has been registered with Independent Financial Group in Houston, Texas since 2012. Previous registrations include Sunbelt Securities in Houston, Texas; Merrill Lynch in Houston, Texas; Coastal Securities in Houston, Texas; Fixed Income Securities in Monument, Colorado; Sterne Agee & Leach in Birmingham, Alabama; PFS Investments in Duluth, Georgia; and Dean Witter Reynolds in Purchase, New York. He is a registered broker and investment adviser with 5 US states and territories: Alaska, Arkansas, California, Louisiana and Texas.

According to his BrokerCheck report, Lyle Boudreaux has received one customer complaint and one pending customer complaint, and was terminated from a former employer.

Bernard McGeePublic records published by the Financial Industry Regulatory Authority (FINRA) on April 18, 2017 indicate that former New York-based Independent Financial Group broker Bernard McGee has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McGee (CRD# 1203327).

Bernard McGee has spent 32 years in the securities industry and was most recently registered with Independent Financial Group in Cazenovia, New York (2012-2016). Previous registrations include Cadaret Grant & Company in Cazenovia, New York; New England Securities in East Syracuse, New York; and Royal Alliance Associates in New York, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints and one regulatory sanction which is currently on appeal.

John Heath

Public records published by the Financial Industry Regulatory Authority (FINRA) on February 24, 2017 indicate that former Minnesota-based Independent Financial Group broker/adviser John Heath has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to 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; Royal Alliance Associates in New York, New York; and Gardner Financial Services in Minneapolis, Minnesota. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 24 (General Securities Principal Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one regulatory sanction, one pending regulatory complaint, and one pending customer complaint.

Ernest Cox

Public records published by the Financial Industry Regulatory Authority (FINRA) on December 2, 2016 indicate that California-based Independent Financial Group broker/adviser Ernest Cox has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cox (CRD# 4326252).

Ernest Cox has spent fifteen years in the securities industry and has been registered with Independent Financial Group in La Quinta, California since April 2016. Previous registrations include Fortune Financial Services in La Quinta, California; NFP Advisor Services in La Quinta, California; Commonwealth Financial Network in La Quinta, California; and Merrill Lynch in New York, New York. He is a registered broker and investment adviser with six US states.

According to his BrokerCheck report, Ernest Cox has received three customer complaints.

Dale NortonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 13, 2017 indicate that former California-based Independent Financial Group broker Dale Norton is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Norton (CRD# 1069797).

Dale Norton has spent 33 years in the securities industry and was most recently registered with Independent Financial Group in Newhall, California (2011-2016). Previous registrations include QA3 Financial Group in Newhall, California; Mutual Service Corporation in Santa Clarita, California; Titan/Value Equities in Irvine, California; and Westlake Securities. He is currently not registered with any state or firm.

According to his BrokerCheck report, Dale Norton was discharged from one former employer.

Brian EganPublic records provided by the Financial Industry Regulatory Authority (FINRA) on October 14, 2016 indicate that former California-based Independent Financial Group broker Brian Egan has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. the securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Egan (CRD# 4527950).

Brian Egan has spent twelve years in the securities industry and was most recently registered with Independent Financial Group in Laguna Niguel, California (2010-2015). Previous registrations include AFA Financial Group in Laguna Niguel, California (2005-2010) and HD Vest Investment Services in Irving, Texas (2002-2004). He is currently not registered with any state or firm.

According to his BrokerCheck report, Brian Egan has been sanctioned by FINRA and was discharged from Independent Financial Group.