James William Tausz (also known as Jim Tausz), of Clarion, Iowa a stockbroker associated with United Planners’ Financial Services of America, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $15,000.00 in damages based upon alleged unsuitable recommendations, breach of contract, fraud, breach…
Aaron Brian Graham of Salt Lake City, Utah, a stockbroker registered with United Planners Financial Services of America, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested damages based upon allegations that Graham breached a contract, violated FINRA rules, made unsuitable investment…
Philip Anthony Riposo of Cave Creek, 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 supported by findings that he failed to cooperate with a FINRA investigation concerning allegations of his creation of fake account statements…
Dan Edward Droeg (also known as Dan Edwards Droeg) of Mesa, Arizona, a stockbroker formerly registered with United Planners Financial Services of America, a Limited Partner, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings of conversion (misuse of investor funds) when Droeg was registered…
Dan Edward Droeg (also known as Dan Edwards Droeg) of Mesa, Arizona, a stockbroker formerly registered with United Planners Financial Services of America, a Limited Partner, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings of conversion (misuse of investor funds) when Droeg was registered…
Dexter Leroy Thomas of Dallas Texas a former United Planners Financial Services of America stockbroker is the subject of a customer initiated investment related arbitration claim which was resolved for $256,250.00 in damages based upon accusations that a fiduciary duty that was owed to the customer had been breached by Thomas and that transactions were…
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…
Dexter Leroy Thomas of Dallas Texas a stockbroker formerly employed by United Planners’ Financial Services of America A Limited Partner has been discharged from employment on August 2, 2018 supported by allegations that (1) Thomas maintained a number of private investments and loans with customers of United Planners’ Financial Services of America wherein those investments…
Billy Edward Foster of United Planners’ Financial Services of America is referenced in a customer initiated investment related arbitration claim which was resolved for $100,000.00 in damages based upon allegations that (1) unsuitable investment recommendations had been made to the customer concerning a direct participation program or limited partnership interests and (2) United Planners Financial…
Eugene Donald Anderson (also known as Gene Anderson) 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 based upon consenting to findings that he converted customers’ funds. Letter of Acceptance Waiver and Consent No. 2016051376401 (Feb. 10,…
Richard Allen Yantis of Cedar Falls Iowa a stockbroker formerly employed by Cambridge Investment Research Inc. is the subject of a customer initiated investment related written complaint on April 19, 2018 in which the customer sought $142,000.00 in damages supported by allegations that Yantis (1) employed deceptive and manipulative tactics to induce the customer’s alternative…
Thomas Tirrell Riquier of Danvers Massachusetts a stockbroker formerly registered with United Planners Financial Services of America is the subject of an Administrative Complaint brought by the Enforcement Section of the Massachusetts Securities Division of the Office of the Secretary of the Commonwealth in which Riquier is alleged to have engaged in fraudulent business practices….
Carl Damien Gill of Troy Michigan is a stockbroker formerly registered with United Planners’ Financial Services of America who is the subject of a customer initiated investment related arbitration claim which settled on December 21, 2017 for $40,000.00 in damages supported by accusations that unauthorized exchange traded funds trades had been placed in the customer’s…
Martin Earl Brooks of Belton Missouri is a stockbroker formerly registered with Cetera Advisors LLC who has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he effected trades in customer accounts without their written authorization and mismarked order tickets as…
Michael Jeffrey Rudd, of Norman, Oklahoma, a stockbroker formerly registered with United Planners’ Financial Services, is the subject of a customer initiated investment related written complaint, which settled on May 5, 2017, for $9,738.00 in damages, wherein the customer’s claim was supported by allegations that Rudd allocated the customer’s investment portfolio in exchange traded funds…