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 despite the products failing to be suitable for the customer.
Rudd’s registration with United Planners’ Financial Services of America was terminated on April 6, 2017. Since August 9, 2017, he has been registered with AXA Advisors, LLC.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
