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 |
|---|---|---|---|---|---|---|---|---|
| Charles B Lefkowitz | 305758 | 2 | 01/31/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul Alphonse Perreault | 1754832 | 4 | 11/28/2011 | Customer Dispute | Denied | $166,000.00 | $0.00 | See FINRA Report |
| James William Tausz | 442956 | 6 | 09/29/2011 | Customer Dispute | Denied | $11,277.90 | $0.00 | See FINRA Report |
| Gordon Wing Sing Yee | 2339698 | 1 | 07/25/2011 | Customer Dispute | Award / Judgment | $221,000.00 | $100,000.00 | See FINRA Report |
| Kevin Glen Baird | 2087678 | 1 | 07/08/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Eugene Wible | 3185799 | 5 | 05/24/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brett Allen MacHtig | 1420080 | 5 | 05/02/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Harold Hull | 1139069 | 3 | 03/03/2011 | Customer Dispute | Denied | $20,172.00 | $0.00 | See FINRA Report |
| Marilee Alice Stephens | 2314189 | 1 | 01/25/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Peter John Ludwig | 1511587 | 3 | 12/27/2010 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |