What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: October 9, 2016

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.

Disclaimer

The posting on this site are mere OPINIONS and NOT statements of fact in any way whatsoever. The information should not be relied upon and there have been no findings made against the firms or individuals referenced on this site. In addition, this Blog is made available for educational purposes only and incorporates information from the web as well as to give you general information and a general understanding of the law, not to provide specific legal advice. By using this blog site you understand that there is no attorney client relationship between you and Stoltmann Law Offices (161 N Clark Street 16th Floor Chicago, IL 60601). The Blog opinions should not be used as a substitute for competent legal advice from a licensed professional attorney in your state.

PLEASE NOTE THIS IS ADVERTISING AND IT IS NOT A NEWSPAPER ARTICLE OR POST FROM AN INDEPENDENT OR NON-BIASED, NEWS SITE, NEWS SOURCE OR NEWSPAPER.

Chicago Investment Fraud Attorneys Offering Nationwide Representation to Investors

If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

Stoltmann Law Securities Investment Fraud Attorneys