Stoltmann Law Offices is investigating United Planners Financial Services of America and Consolidated Reports. The Financial Industry Regulatory Authority (FINRA) brought a regulatory action against United Planners Financial Services of America, making allegations that it failed to supervise consolidated reports from June 2013 until January 2015. United Planners Financial Services agreed to pay a fine of $225,000. FINRA alleged that it failed to adequately supervise the use of consolidated reports by 50 of its representatives. Allegedly, United Planners’ internal procedures and policies did not sufficiently address the verification of valuation information used on such reports. United Planners is based in Arizona. If you would like more information on how you may be able to bring legal action against United Planners Financial Services of America, please call our securities law offices at 312-332-4200 today. The call is free with no obligation.
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