Were you the victim of Independent Financial Group, LLC broker Elaine Hartman (CRD# 2070272)? She has been registered with Independent Financial Group, LLC in Santa Maria, California, since 2015.
Elaine Hartman Customer Complaints
She has been the subject of one customer complaint, according to her CRD report:
December 2023. “Statement of Claim contains allegations of breach of fiduciary duty, negligence, negligent misrepresentation, negligent supervision, breach of contract, churning, excessive trading, fraud and deceit, and unfair business practices/unfair competition.” The customer is seeking $1,618,000 in damages, and the case is currently pending. The complaint was regarding equity OTC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Independent Financial Group, LLC may be liable for investment or other losses suffered by Elaine Hartman’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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