Independent Financial Group, LLC Sanctioned by FINRA for Failure to Supervise Sales of Non-Traded REITs

Independent Financial Group, LLC Sanctioned by FINRA for Failure to Supervise Sales of Non-Traded REITs

Kevin J. Deloatch, Esq.2026-08-05T12:10:38-05:00April 22nd, 2021|Securities Law, Markets and Products|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Independent Financial Group, LLC (CRD # 7717) was recently sanctioned by FINRA’s [...]

FINRA Files Disciplinary Proceedings Against Mercer Hicks, III for Unsuitable Recommendations to Seniors

Kevin J. Deloatch, Esq.2020-03-19T21:01:17-05:00March 17th, 2020|Securities Law, FINRA - Broker Actions, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that FINRA’s Department of Enforcement has recently brought disciplinary proceedings against broker/adviser Mercer Hicks, [...]

Low Interest Rate Environment and REITS & TIC’s

Kevin J. Deloatch, Esq.2020-07-01T14:28:35-05:00March 12th, 2020|Securities Law, Conflicts of Interest, Markets and Products, Private Placements, Tenancies in Common, Unsuitability|

With interest rates at historic lows over the past two decades, has your broker recommended the purchase of either a real estate investment trust (REIT) or [...]