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 |
|---|---|---|---|---|---|---|---|---|
| Mark Stephen Hall | 1696252 | 1 | 08/26/1996 | Customer Dispute | Settled | $51,893.00 | $0.00 | See FINRA Report |
| Sherri Lynn Davis | 4822108 | 1 | 10/17/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sledge Wayne Killion | 269405 | 1 | 11/18/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Halchak | 4604631 | 1 | 06/01/1992 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard A Bailey | 1260597 | 10 | 07/29/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard A Bailey | 1260597 | 10 | 08/20/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eduardo Guillermo Torres | 1205846 | 1 | 08/24/1989 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Dwight Alfred MacHael | 854221 | 2 | 12/20/1988 | Customer Dispute | Settled | $687,000.00 | $0.00 | See FINRA Report |
| John Edward Rhoads | 2176003 | 2 | 02/09/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard A Bailey | 1260597 | 10 | 12/21/1987 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |