Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Perlberg (Perlberg), 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 Perlberg recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on June 17, 2021.
An arbitration claim was received by the respondent, United Planners, where the Registered Representative sold the product at issue. The following claims were made against United Planners: Unsuitability, common law fraud, breach of contract, negligent supervision, breach of fiduciary duty, negligence and aiding and abetting fraud.