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 |
| David Brook Fields | 1953457 | 1 | 03/28/2024 | Customer Dispute | Denied | $400,000.00 | $0.00 | See FINRA Report |
| Richard A Bailey | 1260597 | 10 | 05/02/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Eugene Wible | 3185799 | 5 | 08/31/2020 | Customer Dispute | Denied | $14,305.50 | $0.00 | See FINRA Report |
| Pamela Jo Maybury | 4334173 | 2 | 02/21/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Aaron Brian Graham | 3167246 | 4 | 04/02/2019 | Customer Dispute | Denied | $473,911.00 | $0.00 | See FINRA Report |
| Vincent Paul Troy | 1039492 | 1 | 01/26/2018 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Marian Diann Cassidy | 4360528 | 1 | 12/23/2017 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| Donald Troy Vieth | 5100754 | 2 | 10/18/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Frank Mayginnes Kirby | 3231939 | 1 | 08/26/2016 | Customer Dispute | Denied | $6,300.00 | $0.00 | See FINRA Report |