Securities Lawyers Blog
How long does FINRA arbitration take? How much does FINRA arbitration cost? What damages can I recover in FINRA arbitration? Investors with losses at firms such as United Planners’ Financial Services of America a Limited Partner ask the securities arbitration lawyers at Gana Weinstein LLP these questions before deciding whether to file a FINRA claim. Our attorneys answer them in a free consultation, explain how long you have to file FINRA arbitration, and tell you candidly whether your case is worth pursuing.
United Planners Financial Services of America is an independent broker-dealer and registered investment adviser that supports financial professionals with commission and fee-based business models, offering equities, bonds, mutual funds, variable annuities, government and municipal securities, insurance and retirement plan services. Formed as an Arizona limited partnership in 1987 and headquartered in Scottsdale, the firm is owned by United Planners Group and is registered in all 50 states and United States territories.
United Planners’ Financial Services of America a Limited Partner – By the Numbers:
- CRD #: 20804
- Regulatory Events: 12
- Arbitration Events: 3
- Broker Employees: 584
United Planners’ Financial Services of America a Limited Partner – Investment Advisors:
- SEC #: 57198
- Assets Under Management: $12,770,766,549
- ADV Form Employee: 620
United Planners’ Financial Services of America a Limited Partner – In the News:
FINRA v. United Planners’ Financial Services of America a Limited Partner (Case #2018060895501) – Between May 4, 2018, and June 29, 2018, United Planners negligently omitted to tell four investors in an offering related to GPB Capital Holdings, LLC (GPB Capital) that the issuer failed to timely make required filings with the Securities and Exchange Commission, including filing audited financial statements. By virtue of the foregoing, United Planners violated FINRA Rule 2010.
You do not have to accept investment losses caused by broker negligence or fraud. Gana Weinstein LLP represents investors, including customers of United Planners’ Financial Services of America a Limited Partner, in FINRA arbitration and in state and federal court, our consultations are free, and we welcome all inquiries.