James Petrizzo (CRD#2140799) and INDEPENDENT FINANCIAL GROUP, LLC

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against James Petrizzo (CRD#2140799) regarding allegations made regarding the following:

Claim(s) Made Against James Petrizzo:

Claim Date: 1/21/2020

“Client alleged the advisor didn‘t disclose the callable nature of the Celtic BK Salt Lake City CD investment at the time of purchase in December 2018. Based on conversations with the advisor and following a review of the order ticket provided to the client, it was determined the client was presented with an incomplete order ticket that did not indicate the CD was callable.”

This claim, as of this posting, is currently Settled with a claim amount of $35,500.00 .

The investor was paid $23,500.00 by the brokers’ firm.

See more information on FINRA’s BrokerCheck site for James Petrizzo.

Have an issue with James Petrizzo?

If you were a customer of James Petrizzo and INDEPENDENT FINANCIAL GROUP, LLC from Boulder City, NV and had a similar issue or experience, we are interested in discussing a potential claim with you. Brokerage firms have a responsibility to supervise all representatives who are registered through their firm. (See our video “Warning signs of a bad financial advisor”). Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. The brokerage firm is not only legally responsible for the acts of its agents, like James Petrizzo, the broker dealer may also be liable for investment losses sustained by customers for a failure to supervise. The Securities Lawyers at Halling & Cayo, S.C. have recovered millions of dollars for investors across the country.

The Securities Lawyers have successfully recovered millions of dollars for investors across the country and are currently considering bringing claims on behalf of individuals or groups of investors who have suffered losses. If you are a former customer of James Petrizzo and INDEPENDENT FINANCIAL GROUP, LLC and have incurred investment losses, please contact the Securities Lawyers. You may be entitled to financial compensation, and we work on a contingency basis, meaning we only get paid if we recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to act quickly and speak with an attorney as soon as possible.


Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.