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 |
|---|---|---|---|---|---|---|---|---|
| Robert Joseph McDonough | 1023348 | 1 | 04/16/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard A Bailey | 1260597 | 10 | 04/15/2010 | Customer Dispute | Denied | $98,521.30 | $0.00 | See FINRA Report |
| Eric Richard Hemingway | 2945792 | 2 | 04/02/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin Blake Perlberg | 1424365 | 4 | 01/26/2010 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Richard A Bailey | 1260597 | 10 | 08/17/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kimberly Mae Johnson | 3127396 | 1 | 07/09/2009 | Customer Dispute | Denied | $130,000.00 | $0.00 | See FINRA Report |
| Richard A Bailey | 1260597 | 10 | 05/13/2009 | Customer Dispute | Award / Judgment | $150,000.00 | $20,000.00 | See FINRA Report |
| Richard A Bailey | 1260597 | 10 | 03/31/2009 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Chris Alan Roberts | 2623470 | 1 | 02/04/2009 | Customer Dispute | Settled | $45,781.00 | $0.00 | See FINRA Report |
| Scott Alan Biltz | 1032080 | 4 | 01/29/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |