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 |
|---|---|---|---|---|---|---|---|---|
| Eric Craig | 6753590 | 2 | 12/15/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Norbert Michael Witt | 1013032 | 5 | 09/29/2000 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| William M Schindler | 2297384 | 3 | 07/28/2000 | Customer Dispute | Settled | $7,799.60 | $0.00 | See FINRA Report |
| William M Schindler | 2297384 | 3 | 05/22/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Randolph Stephen Moore | 1873374 | 6 | 10/13/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Victor Phillip Navarroli | 2315457 | 1 | 08/28/1998 | Customer Dispute | Settled | $8,532.52 | $0.00 | See FINRA Report |
| James William Tausz | 442956 | 6 | 02/04/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Craig Backal | 2431183 | 1 | 10/16/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Craig James Ferrantino | 2655467 | 1 | 04/30/1997 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| Marty William Schimp | 2074926 | 1 | 11/15/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |