DARRELL DOMINIC DELPHEN

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

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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