Philip Riposo Investigation July 2022-Scottsdale, AZ According to publicly available records Philip Riposo a former broker who last worked for United Planners’ Financial Services, discloses a final regulatory matter resulting in a…
read moreBrett S. Ellen Investigation April 2022 – Las Vegas, NV According to publicly available records Brett S. Ellen, an unregistered broker who was most recently employed by Metric Financial , discloses…
read moreCarl Gill Investigation August 2022- Troy, MI According to publicly recorded records, Carl Damien Gill, a financial advisor who was last employed by United Planners Financial Services of America, discloses…
read moreJune 2019 UPDATE–Dallas, TX We are currently pursuing FINRA arbitration claims on behalf of more than 20 individuals who were were customers of Dexter Thomas Financial Services. These individuals are…
read moreMay 2019 Litigation UPDATE–Follow this link for the latest on the Dexter Thomas litigation. If you made a claim for losses that was denied by Mr. Thomas’ former employer, call…
read moreJuly 2016-Cave Creek, AZ The FINRA records of Donald A. Bartelt , a former stock broker who was last employed by Newport Coast Securities , disclose a pending regulatory event, a prior customer dispute , a pending customer…
read moreJanuary 2020-Bayville, New Jersey According to FINRA records, James F. Fosbre, IV , a stockbroker who formerly worked for United Planners Financial Services , discloses a prior final customer dispute , a termination from employment…
read moreUPDATE APRIL 2017–United Planners Financial Services of America discloses that Eric W. Harding was discharged 10/2016 for “Failure to follow firm procedures and repay amounts owed to the firm.” ORIGINAL…
read moreFort Worth, Texas According to FINRA records, Marvin T. Petty, Jr. , a stockbroker who works for United Planners Financial Services , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…
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