Our Staff has compiled our research into a database of FINRA Broker Disclosures for United Planners' Financial Services of America A L. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Brian Joseph Gotta | 1219917 | 4 | 08/05/2024 | Customer Dispute | Denied | $65,000.00 | $0.00 | See FINRA Report |
| Meredith Anne Lyon | 6021833 | 1 | 05/17/2024 | Customer Dispute | Settled | $99,999.00 | $0.00 | See FINRA Report |
| Scott Joseph Thomas | 4177526 | 1 | 04/30/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Brook Fields | 1953457 | 1 | 03/28/2024 | Customer Dispute | Denied | $400,000.00 | $0.00 | See FINRA Report |
| Randolph Stephen Moore | 1873374 | 6 | 01/10/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tyra A Moore | 2827766 | 1 | 01/10/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Antonio Alphonso Ristaino | 1095283 | 2 | 11/03/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Edward Rhoads | 2176003 | 2 | 08/22/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Aaron Brian Graham | 3167246 | 4 | 03/27/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lori Beth Givens | 6145137 | 1 | 11/29/2022 | Customer Dispute | Pending | $14,391.00 | $0.00 | See FINRA Report |