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 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 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…
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