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 |
|---|---|---|---|---|---|---|---|---|
| Richard A Bailey | 1260597 | 10 | 12/01/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Norbert Michael Witt | 1013032 | 5 | 09/12/1986 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Norman Fisch | 1283804 | 1 | 07/18/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Anthony Bartow | 2223486 | 2 | 11/25/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Lawrence Huckin | 853863 | 1 | 12/09/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Joseph Gotta | 1219917 | 4 | 12/05/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jody Ann Wilson | 4483236 | 1 | 10/27/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jon Michael Zoet | 1237714 | 2 | 09/06/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |