SEC Charges Firm, CEO With Bilking Hundreds of Clients

Published on August 27, 2024

The firm promised guaranteed investment returns and 100% capital protection, the agency says.

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Rep-owned B-D pays $1 million to ripped off clients

August 27, 2024
United Planners’ Financial Services of America, a general partnership broker-dealer that has been rep-owned since 1987, in July agreed to pay $1.06 million to clients a longtime rep stole from, relying on phony account statements in his scheme, according to the Securities Division of the Arizona Corporation Commission. United Planners’ Financial Services of America, with 500 financial advisors and

The Dos and Don’ts of Tackling Client Mental Health Challenges

August 27, 2024
A quick checklist that may help when dealing with mentally ill clients or beneficiaries.