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 |
|---|---|---|---|---|---|---|---|---|
| Aaron Pierce Sevigny | 4314368 | 3 | 05/05/2021 | Customer Dispute | Settled | $499,999.00 | $0.00 | See FINRA Report |
| Aaron Pierce Sevigny | 4314368 | 3 | 01/28/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Xerxes Lawingco Nabong | 4942634 | 1 | 08/05/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Philip Michael Maliniak | 5268554 | 1 | 08/05/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Deborah Lynn Eggleston | 2369973 | 1 | 02/14/2020 | Customer Dispute | Settled | $206,926.00 | $0.00 | See FINRA Report |
| Agnes Carolyn Medina | 4270422 | 2 | 03/27/2014 | Customer Dispute | Settled | $33,000.00 | $0.00 | See FINRA Report |
| Albert Joseph Matousek | 2051161 | 1 | 10/28/2013 | Customer Dispute | Settled | $11,923.00 | $0.00 | See FINRA Report |
| Peter John Ludwig | 1511587 | 3 | 06/04/2012 | Customer Dispute | Settled | $2,228,100.00 | $0.00 | See FINRA Report |
| James William Tausz | 442956 | 6 | 05/18/2012 | Customer Dispute | Settled | $27,000.00 | $0.00 | See FINRA Report |
| Peter John Ludwig | 1511587 | 3 | 12/27/2010 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |