United Planners Financial Services Archives

ER
March 27, 2024

Rex Securities Law Investment Fraud Attorney Investigates Philip Riposo formerly with United Planners & LPL Financial

Rex Securities Law Investment Fraud Attorney Investigates Philip Riposo formerly with United Planners & LPL Financial https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 27, 2024 March 28, 2024

Last Updated:March 2024 (Cave Creek, AZ) Philip Riposo Investigation Summary Here’s what you need to know about Cave Creek, AZ, stockbroker Philip Riposo: Name: Mr. Philip Anthony Riposo Current Employer:…

ER
April 5, 2022

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 5, 2022 October 30, 2023

Brett Scott Ellen Investigation Updated October 2023 – Las Vegas, NV According to publicly available records Brett S. Ellen, an unregistered broker who was most recently employed by Metric Financial…

ER
August 18, 2021

Carl Gill – Former United Planners Broker- Discloses a Regulatory Event, 4 Settled Customer Disputes, 4 Pending Customer Disputes and 2 Terminations From Employment- Troy, MI

Carl Gill – Former United Planners Broker- Discloses a Regulatory Event, 4 Settled Customer Disputes, 4 Pending Customer Disputes and 2 Terminations From Employment- Troy, MI https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g August 18, 2021 October 3, 2023

Carl 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…

Robert Rex, Esq.
August 7, 2018

Dexter L. Thomas Litigation Update-June 2019-Dallas, TX

Dexter L. Thomas Litigation Update-June 2019-Dallas, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 7, 2018 August 7, 2018

June 2019 UPDATE–Dallas, TX We are currently pursuing FINRA arbitration claims on behalf of more than 20 individuals who were were customers of Dexter Thomas Financial Services. These individuals are…

Robert Rex, Esq.
April 23, 2018

Dexter Thomas Litigation Update-Former National Planning Corp. Broker-Dallas, TX

Dexter Thomas Litigation Update-Former National Planning Corp. Broker-Dallas, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 23, 2018 April 23, 2018

May 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…

Robert Rex, Esq.
July 18, 2016

Donald A. Bartelt-Former Newport Coast Securities Broker-Discloses Pending Regulatory Action for Churning

Donald A. Bartelt-Former Newport Coast Securities Broker-Discloses Pending Regulatory Action for Churning https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 18, 2016 July 18, 2016

July 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…

Robert Rex, Esq.
June 22, 2016

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 22, 2016 June 22, 2016

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…

Robert Rex, Esq.
June 22, 2016

Eric W. Harding-Former Wells Fargo Broker-Discloses Terminations-Scottsdale, AZ

Eric W. Harding-Former Wells Fargo Broker-Discloses Terminations-Scottsdale, AZ https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 22, 2016 June 22, 2016

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…

Robert Rex, Esq.
June 22, 2016

Marvin T. Petty-United Planners Broker-Discloses Customer Dispute

Marvin T. Petty-United Planners Broker-Discloses Customer Dispute https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 22, 2016 June 22, 2016

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…