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 investment portfolio. Financial Industry Regulatory Authority (FINRA) Arbitration No. 16-02521 (Dec. 21, 2017).
FINRA Public Disclosure also reveals that on April 26, 2007, a customer initiated investment related written complaint that concerned Gill’s conduct while associated with Professional Asset Management, Inc. was settled for $42,424.22 in damages based upon allegations that the customer sustained undue investment losses on a variable annuity investment.
On December 4, 2015, Gill was terminated from United Planners Financial Services and Spectrun Financial Resources founded on accusations that he placed trades in customer accounts on a discretionary basis when those accounts were not approved for discretionary trading.
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