https://www.israelsneuman.com/blog/tags/independent-financial-group/ Wed, 20 Aug 2025 15:41:51 GMT en-us https://www.israelsneuman.com/blog/debbie-cavanaugh-centaurus-investigation/ https://www.israelsneuman.com/blog/debbie-cavanaugh-centaurus-investigation/ Mon, 06 Nov 2023 22:48:14 GMT Debbie Cavanaugh with Centaurus Financial Investigated by SEC KALISPELL, MONTANA Did you lose money with financial advisor Debbie Cavanaugh with Centaurus Financial in Kalispell, Montana? She is also known as Debbie Lee McKenna Cavanaugh and was recently the subject of an investigation by the SEC for potentially violating Regulation Best Interest. The Securities and Exchange…

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KALISPELL, MONTANA

Did you lose money with financial advisor Debbie Cavanaugh with Centaurus Financial in Kalispell, Montana? She is also known as Debbie Lee McKenna Cavanaugh and was recently the subject of an investigation by the SEC for potentially violating Regulation Best Interest.

The Securities and Exchange Commission alleged that Cavanaugh may have failed to comply with the care obligation of Regulation Best Interest while she was affiliated with Centaurus Financial. The SEC mentioned that the product involved was “debt-corporate” but did not specify if GWG L Bonds were involved. Additionally, she has been the subject of two other customer complaints involving the sales of real estate investment trusts (or REITs) with prior firms.

Debbie Cavanaugh has been an affiliate of Centaurus Financial since February 2020. She was previously registered with Independent Financial Group and Securities America and worked in a Kalispell, Montana office.

Our securities arbitration law firm represents clients all over the country, including investors in Montana. We have offices in Seattle and Denver but represent investors throughout the Western U.S. We have recovered millions of dollars for investors against numerous firms, including Centaurus Financial.

SEE BROKERCHECK REPORT HERE

If you lost money with Debbie Cavanaugh or Centaurus Financial, please Contact Us at 206-795-5798 for a free evaluation of your case.

]]> https://www.israelsneuman.com/blog/yong-chang-independent-financial-subject-complaints/ https://www.israelsneuman.com/blog/yong-chang-independent-financial-subject-complaints/ Mon, 09 Oct 2023 19:12:10 GMT Yong Chang with Independent Financial Group Subject of Two Complaints SEATTLE, WASHINGTON Have you invested with Yong Chang from Seattle, Washington? Our securities arbitration law firm is reviewing claims made by clients of Yong Seok Chang, with Independent Financial Group. Chang has been a representative of Independent Financial Group since 2008 in Seattle, Washington, as…

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SEATTLE, WASHINGTON

Have you invested with Yong Chang from Seattle, Washington? Our securities arbitration law firm is reviewing claims made by clients of Yong Seok Chang, with Independent Financial Group.

Chang has been a representative of Independent Financial Group since 2008 in Seattle, Washington, as well as a company called U&T Financial. He has been the subject of two customer complaints since November 2021, both of which allege that Chang recommended unsuitable investments in non-traded REITs, or real estate investment trusts.

Financial advisors are subject to the rules of FINRA, the Financial Industry Regulatory Authority. One of these rules is FINRA Rule 2111, which provides that financial advisors make suitable investment recommendations to customers. The brokerage firm and/or advisor can be liable if Rule 2111 is violated.

Our law firm represents investors throughout the country, including investors in Washington. Attorney David Neuman has an office in Seattle and is licensed to practice law in Washington.

VIEW BROKERCHECK REPORT HERE

If you lost money with Yong Chang or Independent Financial Group, please Contact Us at 206-795-5798 for a free evaluation of your case.

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