STEPHEN K RYAN is currently employed as a Broker and/or Investment Adviser at INDEPENDENT FINANCIAL GROUP, LLC located at 218 North Lee Street, Suite 309, ALEXANDRIA, VA, 22314.
STEPHEN K RYAN has worked at INDEPENDENT FINANCIAL GROUP, LLC since March 25, 2014
Disclosure History
STEPHEN K RYAN has 2 Disclosure Event(s).
Date: September 16, 2010 Category: Customer Dispute Allegations: BROKERAGE CUSTOMER CLAIMS THAT ADVISOR SHOULD HAVE NOTIFIED HIM WHEN CERTAIN SHARES OF STOCK REACHED A SHARE PRICE OF $100 IN JUNE/JULY 2008, SEEKS REIMBURSEMENT FOR THE LOSS IN VALUE OF THE SHARES SINCE THAT TIME. ACTIVITY PERIOD JUNE 2008 TO JULY 2008. Damage Amount Requested: $1,200,000.00
Date: January 14, 2010 Category: Customer Dispute Allegations: CUSTOMER ALLEGES MISREPRESENTATION IN CONNECTION WITH PRIVATE PLACEMENT PURCHASED IN DECEMBER 2006. Damage Amount Requested: $325,000.00 Broker Comment: THE FINANCIAL ADVISOR MAINTAINS THAT THE COMPLAINT IS AGAINST RAYMOND JAMES AND THE INFORMATION RAYMOND JAMES PROVIDED CONCERNING THIS INVESTMENT.
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 STEPHEN K RYAN, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.