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 |
|---|---|---|---|---|---|---|---|---|
| David Colin Masterman | 1065586 | 1 | 11/08/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter John Ludwig | 1511587 | 3 | 09/22/2010 | Customer Dispute | Settled | $1,326,000.00 | $0.00 | See FINRA Report |
| Richard A Bailey | 1260597 | 10 | 05/19/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Chris Alan Roberts | 2623470 | 1 | 02/04/2009 | Customer Dispute | Settled | $45,781.00 | $0.00 | See FINRA Report |
| Gregory Michael Davis | 1201207 | 1 | 10/29/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Larry Story | 2574091 | 1 | 11/27/2007 | Customer Dispute | Settled | $518,000.00 | $0.00 | See FINRA Report |
| Aaron Brian Graham | 3167246 | 4 | 08/13/2007 | Customer Dispute | Settled | $257,238.00 | $0.00 | See FINRA Report |
| Paul Alphonse Perreault | 1754832 | 4 | 04/17/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ann Karen Kilmer | 3178525 | 1 | 09/08/2005 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Roderick Joseph Clark | 1550212 | 1 | 08/04/2005 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |