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 |
|---|---|---|---|---|---|---|---|---|
| James William Tausz | 442956 | 6 | 03/23/2005 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| David Joseph Chalmers | 2943921 | 2 | 03/03/2005 | Customer Dispute | Settled | $18,440.00 | $0.00 | See FINRA Report |
| Neil Howard Graff | 1544136 | 1 | 12/09/2004 | Customer Dispute | Denied | $23,381.00 | $0.00 | See FINRA Report |
| Richard Leslie Cunningham | 1362301 | 4 | 10/19/2004 | Customer Dispute | Denied | $22,746.40 | $0.00 | See FINRA Report |
| Donald Michael Purcell | 2641990 | 1 | 08/20/2004 | Customer Dispute | Closed-No Action | $268,416.00 | $0.00 | See FINRA Report |
| David Joseph Chalmers | 2943921 | 2 | 04/14/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard Leslie Cunningham | 1362301 | 4 | 01/09/2004 | Customer Dispute | Denied | $14,850.00 | $0.00 | See FINRA Report |
| Donald Eugene Wilson | 1677337 | 1 | 12/18/2003 | Customer Dispute | Closed-No Action | $110,000.00 | $0.00 | See FINRA Report |
| Lawrence Jay Lazar | 3111805 | 3 | 11/21/2003 | Customer Dispute | Denied | $495,000.00 | $0.00 | See FINRA Report |
| Pamela Jo Maybury | 4334173 | 2 | 08/13/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |