Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Rhoads (Rhoads), currently 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 Rhoads recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on August 22, 2023.
Fraudulent misrepresentation, negligent misrepresentation, aiding and abetting the breach of fiduciary duty, aiding and abetting in fraud, fraud by concealment, fraud by non-disclosure and negligence.