ARMANDO ROMAN Involved in $3.5 Million in Customer Losses

Israels & Neuman, PLC

Advisor Armando Roman, Formerly with Independent Financial Group, and Now with Axiom, Subject of $3.5 Million Customer Complaint

SCOTTSDALE, ARIZONA

Are you a former client of advisor Armando Roman, formerly with Independent Financial Group and now with Axiom Financial in Scottsdale, Arizona? The investment fraud and securities arbitration law firm of Israels & Neuman is looking into allegations made against Armando Roman. In April 2021, Independent Financial Group was named as a respondent in an arbitration claim with FINRA. According to BrokerCheck, a customer is alleging $3.5 million in damages against Independent Financial Group from an overconcentration in speculative and illiquid investments such as private placements.

Armando Roman had been affiliated with Independent Financial Group from 2006 to July 2021. He is now an investment advisory representative of Axiom Financial Resources in Scottsdale, Arizona.

According to FINRA Rule 2111, advisors must make suitable investment recommendations to customers in accordance with the investors’ risk tolerance, investment objectives, net worth, age, and other factors. If the advisor violates Rule 2111, the advisor and/or the brokerage firm can be liable for investor losses.

Israels & Neuman PLC handles a number of cases in FINRA arbitration throughout the country. We have an office in Phoenix, AZ and attorney Aaron Israels is licensed to practice law in Arizona.

View BrokerCheck: Roman, a BrokerCheck 4.4.22

If you lost money with Armando Roman or Independent Financial Group, please Contact Us at 720-599-3505 for a free evaluation of your case.

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