Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sharon Green (Green), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one tax lien, alleging that Green recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on December 09, 2024.
Without admitting or denying the findings, Green consented to the sanctions and to the entry of findings that she engaged in an OBA without prior written notice to her member firm. The findings stated that Green provided consulting services to individuals, including three customers of the firm, all of whom were seniors, related to estate planning, medical care, family mediation, and budgeting and debt management. Green received approximately $35,000 in compensation for these services.
