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 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.

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

FINRA BrokerCheck shows a settled customer complaint on October 06, 2025.

Unsuitable investments involving an alternative investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Sevigny (Sevigny), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Sevigny recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 23, 2021.

Unsuitability, common law fraud, breach of contract, breach of fiduciary duty, negligence, aiding and abetting fraud and violation of Florida Securities Act.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pasquale Vitucci (Vitucci), 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 Vitucci 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 $300,000.00 on July 26, 2021.

Breach of fiduciary duty, negligent misrepresentation, negligence, negligent supervision, breach of contract, fraud and financial elder abuse.

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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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