DID STEWART GINN CAUSE YOU INVESTMENT LOSSES?
Stewart Ginn Of Independent Financial Group, LLC Has 4 Customer Complaints For Alleged Broker Misconduct
Who is Stewart Ginn of Independent Financial Group, LLC?
Stewart Ginn (CRD #4503197) who is currently registered as a broker with Independent Financial Group, LLC and located in Encinitas, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Independent Financial Group, LLC, Stewart Ginn was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Stewart Ginn has had his own share of regulatory problems. FINRA recently filed a complaint against him alleging that he churned and excessively traded customer accounts. The FINRA enforcement action is still pending.
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Stewart Ginn Customer Complaints
Stewart Ginn has been the subject of 4 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by Independent Financial Group in favor of the investor. Another one of the customer complaints was denied by Chicago Investment Group and the investor took no further action. There are currently 2 FINRA arbitration proceedings pending against Independent Financial Group for Stewart Ginn’s alleged misconduct.
Allegations Against Stewart Ginn
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Excessive and unsuitable trading generates excessive commissions.
- Mismanagement of college savings account.
- Unsuitable investment recommendations considering customer’s age.
- Excessive trading and commissions.