CALABASAS, CALIFORNIA

Have you lost money with financial advisor Brett Ellen, formerly of United Planners Financial Services and DFPG Investment in Calabasas, California?  We are looking into allegations made against Brett Ellen. Brett Ellen has been the subject of fifteen (15) customer complaints, two of which were filed in the last two years.  The two recent complaints allege unsuitable investments in “alternative” investments in private placements.

Brett Ellen was a registered representative of United Planners Financial Services from September 2014 to October 2017.  He was also with DFPG Investment from October 2017 to December 2018.  He has also been with three other firms since DFPG Investment.  He worked at branch offices in Calabasas, California.

Brokerage firms like United Planners Financial Services and DFPG Investment have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Ann Arbor, Michigan; and Phoenix, Arizona.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including United Planners Financial Services.

Click to view BROKERCHECK:  Ellen, Brett BrokerCheck 6.8.21

If you lost money with Brett Ellen, DFPG Investment, or United Planners Financial Services, Contact the Law Firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a free evaluation of your case.