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 |
|---|---|---|---|---|---|---|---|---|
| Phil Dwayne Wheat | 1160523 | 1 | 11/29/2022 | Customer Dispute | Pending | $14,391.00 | $0.00 | See FINRA Report |
| Tania Herbert | 5532533 | 3 | 10/26/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tania Herbert | 5532533 | 3 | 10/24/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James William Tausz | 442956 | 6 | 10/04/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Joseph Toddy | 2636687 | 1 | 06/13/2022 | Customer Dispute | Settled | $383,014.00 | $0.00 | See FINRA Report |
| Richard A Bailey | 1260597 | 10 | 05/02/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas Albert Dulac | 1411702 | 1 | 04/08/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael W Stapleton | 7197856 | 1 | 01/07/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aaron Brian Graham | 3167246 | 4 | 09/07/2021 | Customer Dispute | Settled | $4,300,950.00 | $0.00 | See FINRA Report |
| Aaron Pierce Sevigny | 4314368 | 3 | 07/23/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |