UPDATE 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 POST JUNE 2016-Scottsdale, AZ
According to FINRA records, Eric W. Harding , a stockbroker who formerly worked for Wells Fargo Advisors , discloses ten prior final customer disputes and a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Eric W. Harding discloses that in 12/2015 he was discharged from Wells Fargo Advisors, who made the following allegation in connection with the termination: “Mr. Harding instructed another team member to provide incorrect information on his business expense records. The conduct at issue did not negatively impact client funds or investments”.
Of the ten prior customer disputes, 7 resulted in monetary settlements.
Harding has been employed by United Planners Financial Services since 2/2016. He was employed by Wells Fargo Advisors from 2/2002-1/2016.
If you have questions about an account handled by Eric W. Harding , call for a no charge consultation.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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