Tag Archives: United Planners’ Financial Services of America

United Planners Sued For Breach Of Fiduciary Duty

July 11, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Failure To Supervise, Securities Arbitration Claims   |   Comments Off on United Planners Sued For Breach Of Fiduciary Duty

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 […]

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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 Broker Caught In Promissory Note Scheme

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 […]

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United Planners Sued For Risky Investment Recommendations

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 […]

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FINRA Bars United Planners Broker For Conversion

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, […]

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Cambridge Investment Research Accused Of Fraud

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 […]

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United Planners Financial Sued For Unauthorized Trading

April 08, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

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 […]

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FINRA Fines Cetera Stockbroker For Unauthorized Trading

March 22, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

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 […]

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