SEC
Whistleblower
Attorneys

September 30, 2019

Independent Financial Group LLC

Trading and Pricing

SANCTION AMOUNT: $1426151

Defendants: Independent Financial Group LLC

Settled charges that Respondent failed to adequately disclose conflicts of interest related to the sale of higher cost mutual fund share classes that charged 12b-1 fees, when a lower-cost share class was available. The Respondent self-reported the potential violations.

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