United Planners Financial Services of America and Consolidated Reports
We are currently investigating allegations made against United Planners Financial Services of America, a Scottsdale, Arizona-based securities brokerage firm. FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against United Planners Financial Services of America, making allegations regarding its failure to supervise consolidated reports from June 2013 to January 2015. To settle these allegations, United Planners Financial Services of America agreed to pay a fine of $225,000.
FINRA alleged that United Planners Financial Services of America failed to adequately supervise the use of consolidated reports by 50 of its representatives. It was alleged that United Planners’ internal procedures and policies did not sufficient address the verification of valuation information used on such reports.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Seattle, Ann Arbor, Chicago, and the Portland area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Arizona. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: United Planners FINRA AWC
Click to view: United Planners BrokerCheck 10.4.16
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Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.