DARRELL DOMINIC DELPHEN is currently employed as a Broker and/or Investment Adviser at INDEPENDENT FINANCIAL GROUP, LLC located at 14901 QUORUM DRIVE, SUITE 785, DALLAS, TX, 75254.
DARRELL DOMINIC DELPHEN has worked at INDEPENDENT FINANCIAL GROUP, LLC since May 18, 2012
Disclosure History
DARRELL DOMINIC DELPHEN has 3 Disclosure Event(s).
Date: March 11, 2016 Category: Civil
Date: June 01, 2004 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT IN EARLY 2004 THE REPRESENTATIVE SOLICITED HER TO PURCHASE A VARIABLE ANNUITY CONTRACT. SHE ALLEGES THAT THE PRODUCT WAS UNSUITABLE AND THAT THE REP. MADE INCORRECT REPRESENTATIONS OF THE PRODUCT. Damage Amount Requested: $40,000.00 Broker Comment: COMPLAINT DENIED.
Date: June 26, 2001 Category: Customer Dispute Allegations: CLIENTS ALLEGE IN SEPTEMBER 2000, THEIR INVESTMENTS WERE PLACED IN HIGH RISK FUNDS AGAINST THEIR INSTRUCTIONS CAUSING LOSSES IN THEIR PORTFOLIO. Damage Amount Requested: $22,030.00 Broker Comment: THE INVESTIGATION SHOWED THE CLIENT WAS PRESENTED A LONG-TERM PLAN WHERE BOTH THE REPRESENTATIVE AND THE CLIENT SELECTED FUNDS. THE CLIENT THEN INITIALIZED EACH CHOICE. QUARTERLY STATEMENTS WERE MAILED TO THE CLIENT. AND AT ANY TIME THE CLIENT HAD THE AUTHORITY AND OPPORTUNITY TO CHANGE TO DIFFERENT FUNDS.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for DARRELL DOMINIC DELPHEN, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.