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United Planners problem

Brett S. Ellen-Former Metric Financial Broker-Discloses $1.9M Customer Suit – Las Vegas, NV

Brett S. Ellen-Former Metric Financial Broker-Discloses $1.9M Customer Suit – Las Vegas, NV 150 150 ER

Brett 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…

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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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