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 |
|---|---|---|---|---|---|---|---|---|
| Philip Michael Maliniak | 5268554 | 1 | 08/05/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Pamela Jo Maybury | 4334173 | 2 | 02/21/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Deborah Lynn Eggleston | 2369973 | 1 | 02/14/2020 | Customer Dispute | Settled | $206,926.00 | $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 | 4 | 04/02/2019 | Customer Dispute | Denied | $473,911.00 | $0.00 | See FINRA Report |
| Joel Everett | 6994217 | 2 | 02/28/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jamey Carl Graham | 4382537 | 3 | 12/12/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Vincent Paul Troy | 1039492 | 1 | 01/26/2018 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |