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Violation Tracker Individual Record

Company: United Planners Financial Services of America
Penalty: $1,109,823
Year: 2024
Date: July 18, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: United Planners agreed to pay $1,059,823 restitution and a $50,000 penalty in settlement of allegations it failed to reasonably supervise its securities salesman who was accused of defrauding multiple customers.
Level of Government: state
Action Type: agency action
Agency: Arizona Corporation Commission
Civil or Criminal Case: civil
Facility State: Arizona
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.