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 |
|---|---|---|---|---|---|---|---|---|
| Peter James Keating | 3012512 | 1 | 07/08/2019 | Customer Dispute | Award / Judgment | $216,941.00 | $108,462.00 | See FINRA Report |
| Gordon Wing Sing Yee | 2339698 | 1 | 07/25/2011 | Customer Dispute | Award / Judgment | $221,000.00 | $100,000.00 | See FINRA Report |
| Richard A Bailey | 1260597 | 10 | 05/13/2009 | Customer Dispute | Award / Judgment | $150,000.00 | $20,000.00 | See FINRA Report |
| William Charles Artmann | 1420468 | 1 | 08/15/2005 | Customer Dispute | Award / Judgment | $1,391,810.00 | $1,150,000.00 | See FINRA Report |