Tag Archives: United Planners’ Financial Services

United Planners Stockbroker Charged With Fraud

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. […]

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United Planners Customer Suitability Complaint

August 31, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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