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

FINRA BrokerCheck shows a settled customer complaint on August 15, 2024.

Client alleges investments were too risky and unsustainable.

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

FINRA BrokerCheck shows a settled customer complaint on August 15, 2024.

Clients allege products were too risky and unsuitable.

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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 pending customer complaint with a damage request of $215,000.00 on September 10, 2024.

Breach of fiduciary duty, suitability and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carl Gill (Gill), previously 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 Gill 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 $215,000.00 on September 10, 2024.

Breach of fiduciary duty, suitability and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randolph Hinton (Hinton), 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 Hinton 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 $245,000.00 on December 27, 2024.

Breach of fiduciary duty, suitability and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Smith (Smith), 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 Smith 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 $50,000.00 on November 26, 2024.

Unsuitable recommendation based upon the clients’ risk profile.

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