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 |
|---|---|---|---|---|---|---|---|---|
| Meredith Anne Lyon | 6021833 | 1 | 05/17/2024 | Customer Dispute | Settled | $99,999.00 | $0.00 | See FINRA Report |
| Aaron Brian Graham | 3167246 | 4 | 03/27/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James William Tausz | 442956 | 6 | 10/04/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Joseph Toddy | 2636687 | 1 | 06/13/2022 | Customer Dispute | Settled | $383,014.00 | $0.00 | See FINRA Report |
| Douglas Albert Dulac | 1411702 | 1 | 04/08/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Aaron Brian Graham | 3167246 | 4 | 09/07/2021 | Customer Dispute | Settled | $4,300,950.00 | $0.00 | See FINRA Report |
| Aaron Pierce Sevigny | 4314368 | 3 | 07/23/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Blake Perlberg | 1424365 | 4 | 06/17/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Lennard Cuno van Der Feltz | 4630091 | 5 | 05/26/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lennard Cuno van Der Feltz | 4630091 | 5 | 05/25/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |