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 |
|---|---|---|---|---|---|---|---|---|
| Jarrod Charles Nunn | 4428564 | 2 | 09/06/2012 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Teresa N Palmer | 1455601 | 3 | 09/06/2012 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Douglas Christopher Hall | 2577937 | 1 | 07/26/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Joseph Gotta | 1219917 | 4 | 07/12/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Richard Hemingway | 2945792 | 2 | 06/28/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter John Ludwig | 1511587 | 3 | 06/04/2012 | Customer Dispute | Settled | $2,228,100.00 | $0.00 | See FINRA Report |
| James William Tausz | 442956 | 6 | 05/18/2012 | Customer Dispute | Settled | $27,000.00 | $0.00 | See FINRA Report |
| Nicholas Thomas Battaglia | 6228743 | 1 | 05/08/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Craig Parks | 2954714 | 1 | 04/25/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tony Lee Adkison | 5860007 | 2 | 03/26/2012 | Civil | Final | $0.00 | $0.00 | See FINRA Report |