Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Harding (Harding), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Harding recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $60,000.00 on July 22, 2020.
Mr. Harding failed to execute a sell order that resulted in loses to a Client account.