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 |
|---|---|---|---|---|---|---|---|---|
| Pasquale Vitucci | 2290163 | 21 | 01/07/2020 | Customer Dispute | Settled | $1,350,000.00 | $0.00 | See FINRA Report |
| James Anthony Bartow | 2223486 | 2 | 12/20/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Eugene Wible | 3185799 | 5 | 11/21/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter James Keating | 3012512 | 1 | 07/08/2019 | Customer Dispute | Award / Judgment | $216,941.00 | $108,462.00 | See FINRA Report |
| Aaron Brian Graham | 3167246 | 3 | 04/02/2019 | Customer Dispute | Denied | $473,911.00 | $0.00 | See FINRA Report |
| Sumit Sharma | 5385957 | 1 | 03/25/2019 | Customer Dispute | Denied | $28,000.00 | $0.00 | See FINRA Report |
| Jason Christopher Erickson | 2527905 | 1 | 03/04/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Joel Everett | 6994217 | 3 | 02/28/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Cady Heller | 242309 | 1 | 02/07/2019 | Customer Dispute | Denied | $32,104.40 | $0.00 | See FINRA Report |
| James Patton Webb | 872943 | 2 | 12/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |