Articles Tagged with United Planners’ Financial Services of America A Limited Partner

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Arnall (Arnall), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Arnall recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 10, 2022.

Breach of fiduciary duty, suitability, misrepresentation, omitted information, violated FINRA Rules 2010, IM-2310-2 and 2020, fraudulent inducement, and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Toddy (Toddy), 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 Toddy 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 $383,014.45 on June 13, 2022.

Client alleges in 2019 the registered representative recommended an unsuitable transaction.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lori Givens (Givens), 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 Givens 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 $14,391.00 on November 29, 2022.

Poor advice and financial planning.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Brooks (Brooks), 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 Brooks 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 $350,000.00 on February 01, 2023.

Claimant alleges breach of fiduciary duty, breach of contract, and misrepresentation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Graham (Graham), 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 Graham recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 27, 2023.

Violations of the Utah Securities Act, fraud, breach of fiduciary duty, professional negligence, unsuitability, violation of FINRA Code of Conduct, and breach of advisory and brokerage agreements.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Tausz (Tausz), 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 Tausz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 04, 2022.

Breach of fiduciary duty, suitability, Securities Act, Common Law Fraud and Common Law Negligence, violation of FINRA Rule 2210, violation of FINRA rules 2010, IM-2310-2, and 2020, fraudulent misrepresentations and omissions, and breach of contract.

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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.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Dan Droeg (Droeg) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Droeg was employed by United Planners’ Financial Services of America A Limited Partner at the time of the activity.  If you have been a victim of Droeg’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $980,000.00 on February 06, 2024.

Misappropriation of client funds. Alleged activity occurred July 2009 to April 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Riposo (Riposo), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Riposo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 25, 2024.

Breach of regulatory requirements, breach of fiduciary duty, negligence and gross negligence and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Meredith Lyon (Lyon), 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 Lyon 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 $99,999.00 on May 17, 2024.

Breach of fiduciary Duty, violation of NASD and NYSE Rules, Breach of Contract and Negligence,

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