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 |
| Duane M Roth | 4784123 | 1 | 10/05/2010 | Customer Dispute | Denied | $35,199.00 | $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 |
| Charles B Lefkowitz | 305758 | 2 | 09/20/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Vernon Robison | 1755714 | 1 | 09/17/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jarrod Charles Nunn | 4428564 | 2 | 06/15/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Teresa N Palmer | 1455601 | 3 | 06/14/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tony Lee Adkison | 5860007 | 2 | 06/08/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard A Bailey | 1260597 | 10 | 05/19/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lennard Cuno van Der Feltz | 4630091 | 5 | 04/26/2010 | Customer Dispute | Closed-No Action | $38,420.00 | $0.00 | See FINRA Report |