Tag Archives: Jerry Lou Guttman

United Planners Sued By Investors For Misrepresentation

Jerry Lou Guttman of Phoenix Arizona a stockbroker employed by United Planners’ Financial Services of America is referenced in a customer initiated investment related arbitration claim where the customer sought $1,700,000.00 in damages founded on accusations that (1) false or misleading statements were made to the customer by Guttman in regards to LLC membership interests […]

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United Planners Stockbroker Barred For Selling Away

November 28, 2017  |   Posted by :   |   Selling Away and Outside Activities   |   0 Comments

Jerry Lou Guttman of Phoenix, Arizona, a stockbroker formerly registered with United Planners’ Financial Services of America, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he sold $7,000,000.00 worth of investments to customers away from his firm. Letter of Acceptance, Waiver and Consent, […]

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