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 Leslie Cunningham | 1362301 | 4 | 09/30/2014 | Customer Dispute | Denied | $55,443.00 | $0.00 | See FINRA Report |
| Tania Herbert | 5532533 | 3 | 08/04/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Daniel Williams | 4011843 | 1 | 06/12/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Donald Troy Vieth | 5100754 | 2 | 04/25/2014 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Agnes Carolyn Medina | 4270422 | 2 | 03/27/2014 | Customer Dispute | Settled | $33,000.00 | $0.00 | See FINRA Report |
| Albert Joseph Matousek | 2051161 | 1 | 10/28/2013 | Customer Dispute | Settled | $11,923.00 | $0.00 | See FINRA Report |
| Antonio Alphonso Ristaino | 1095283 | 2 | 10/01/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicole Yvette Redus | 3254135 | 1 | 09/20/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Agnes Carolyn Medina | 4270422 | 2 | 03/14/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Garth Fernandez | 2783860 | 1 | 02/22/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |