Articles Tagged with Terry Griffith

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terry Griffith (Griffith), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include one customer complaint, one tax lien, alleging that Griffith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 27, 2025.

Due to recent disclosure incidents regarding exercising discretion in client accounts without obtaining prior permission, the Division placed conditions on Griffith’s registration as a BD Agent and as an IAR of IFG in Massachusetts.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terry Griffith (Griffith), currently associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include one customer complaint, one tax lien, alleging that Griffith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 27, 2025.

Due to recent disclosure incidents regarding exercising discretion in client accounts without obtaining prior permission, the Division placed conditions on Griffith’s registration as a BD Agent and as an IAR of IFG in Massachusetts.