United Planners Financial Services of America – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with United Planners Financial Services of America. If you suffered losses investing with United Planners Financial Services of America, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
United Planners Financial Services of America (CRD# 20804) (SEC# 8-38485)
As of August 24, 2016, United Planners Financial Services of America’s FINRA BrokerCheck Report contains the following:
6 Regulatory Event Disclosures
0 Civil Event Disclosures
1 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
7333 E. DOUBLETREE RANCH ROAD #120
SCOTTSDALE, AZ 85258-2023
Mailing Address
P.O. BOX 5750
SCOTTSDALE, AZ 85261-5750
Business Telephone Number
480-991-0225
Direct Owners and Executive Officers
UNITED PLANNERS’ GROUP, INC. – GENERAL PARTNER
BAKER, MICHAEL A (CRD# 4037933) – EXECUTIVE VICE PRESIDENT FINANCE, CHIEF FINANCIAL OFFICER (CFO)
HALL, DOUGLAS CHRISTOPHER (CRD# 2577937) – VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER (CCO)
OLIVERIO, KENNETH WILLIAM JR (CRD# 2957427) – VICE PRESIDENT, INVESTMENT ADVISORY SERVICES
SHINDEL, DAVID ALAN (CRD# 4520784) – PRESIDENT AND CHIEF EXECUTIVE OFFICER (CEO)
VERNIA, JEANNETTE ANN (CRD# 1098480) – VICE PRESIDENT, MARKETING
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with United Planners Financial Services of America and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
