TERRY GRIFFITH Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses
INDEPENDENT FINANCIAL GROUP, LLC investment adviser, TERRY GRIFFITH Has An Investor Complaint.
CRD#: 4937497
Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.
TERRY WILLIAM GRIFFITH (CRD#: 4937497), a registered representative for INDEPENDENT FINANCIAL GROUP, LLC, in Watertown, MA, has a settled investor complaint. According to Griffith’s FINRA BrokerCheck report, Client alleged that the recommendation to invest in an option overlay strategy was misrepresented stating it had moderate risk at the most. Client also expressed the fees/commissions being charged were excessive.
The claim settled for $374,774.27.
Due to recent disclosure incidents regarding exercising discretion in client accounts without obtaining prior permission, the Massachusetts Securities Division placed conditions on Griffith’s registration as a BD Agent and as an IAR of IFG in Massachusetts.
TERRY WILLIAM GRIFFITH Has An Investor Complaint.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to its clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 2/28/25. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.