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Andrew Scott Corbman Rep Barred And Ordered To Disgorge $4.15M

Andrew Scott Corbman, a former broker and investment adviser, spent 21 years in the securities industry before 2016. His employment history at several broker‑dealers appears in his FINRA BrokerCheck record. The Securities and Exchange Commission (SEC) filed a civil action against him following his personal bankruptcy proceedings. On October 3, 2025, a federal judge in […]

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FINRA fines Independent Financial Group $100,000 — a detailed look for investors and advisors

FINRA recently sanctioned Independent Financial Group LLC (IFG) with a $100,000 fine and a censure after finding the firm allowed a suspended registered representative to continue conducting activity from April through November 2022. IFG agreed to the settlement without admitting or denying the findings and waived any defense based on inability to pay. Below is

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