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United Planners Financial Services

Carl Gill – United Planners Broker- Discloses a Regulatory Event, 2 Settled Customer Disputes, 3 Pending Customer Disputes and 2 Terminations From Employment- Troy, MI

Carl Gill – United Planners Broker- Discloses a Regulatory Event, 2 Settled Customer Disputes, 3 Pending Customer Disputes and 2 Terminations From Employment- Troy, MI 150 150 ER

August 2021- 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 two prior regulatory…

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Dexter L. Thomas Litigation Update-June 2019-Dallas, TX

Dexter L. Thomas Litigation Update-June 2019-Dallas, TX 150 150 Rex Securities Law

June 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…

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Dexter Thomas Litigation Update-Former National Planning Corp. Broker-Dallas, TX

Dexter Thomas Litigation Update-Former National Planning Corp. Broker-Dallas, TX 150 150 Rex Securities Law

May 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…

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Mark C. O’Meara – McNally Financial Services Broker-Discloses Customer Disputes-Georgetown, TX

Mark C. O’Meara – McNally Financial Services Broker-Discloses Customer Disputes-Georgetown, TX 150 150 Rex Securities Law

June 2017 – Georgetown, TX According to publicly available records Michael C. O’Meara  (CRD#2652113) ,  a  stockbroker who currently works for San Antonio-based McNally Financial Services Corp.  discloses three prior final customer disputes The Financial…

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Donald A. Bartelt-Former Newport Coast Securities Broker-Discloses Pending Regulatory Action for Churning

Donald A. Bartelt-Former Newport Coast Securities Broker-Discloses Pending Regulatory Action for Churning 150 150 Rex Securities Law

July 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…

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James F. Fosbre IV-Former United Planners Broker-Discloses Customer Dispute, Termination From Employment-Bayville, NJ

James F. Fosbre IV-Former United Planners Broker-Discloses Customer Dispute, Termination From Employment-Bayville, NJ 150 150 Rex Securities Law

January 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…

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Eric W. Harding-Former Wells Fargo Broker-Discloses Terminations-Scottsdale, AZ

Eric W. Harding-Former Wells Fargo Broker-Discloses Terminations-Scottsdale, AZ 150 150 Rex Securities Law

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…

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Marvin T. Petty-United Planners Broker-Discloses Customer Dispute

Marvin T. Petty-United Planners Broker-Discloses Customer Dispute 150 150 Rex Securities Law

Fort 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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Beth E. Dutoit, Edward Jones/United Planners Broker Sanctioned for Forgery-Norman, Oklahoma

Beth E. Dutoit, Edward Jones/United Planners Broker Sanctioned for Forgery-Norman, Oklahoma 150 150 Rex Securities Law

Norman, OK MAY 2017 UPDATE-In January 2017 Beth E. Dutoit was suspended for three months by FINRA and fined $5,000 to resolve allegations that she had customers sign blank forms…

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