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 |
|---|---|---|---|---|---|---|---|---|
| Randolph Stephen Moore | 1873374 | 6 | 11/05/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rodney Yutaka Nishikawa | 2133331 | 1 | 07/27/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Darren Francis Schneck | 3056724 | 2 | 03/21/2001 | Customer Dispute | Denied | $20,781.00 | $0.00 | See FINRA Report |
| Randolph Stephen Moore | 1873374 | 6 | 10/13/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James William Tausz | 442956 | 6 | 02/04/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Craig Backal | 2431183 | 1 | 10/16/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |