Securities Lawyers Blog

Cary Urich and United Planners ETF Losses: What Investors Should Know

November 1, 2026 | by Staff Attorney

Did your United Planners account lose money in SDS, DXD, TWM, QID or UVXY while Cary Urich managed your investments? A recent Securities and Exchange Commission action raises questions about whether investors were placed in strategies inconsistent with their financial needs and tolerance for risk.

Gana Weinstein LLP offers a free consultation to investors seeking to understand whether their losses may support a claim against their financial adviser or brokerage firm. Call 800-810-4262 to discuss your account. An investment loss alone does not establish misconduct, but the way a strategy was selected, explained and managed deserves careful review.

What did the SEC find about United Planners?

Oak Hills Securities, Inc. Investment Attorney

November 1, 2026 | by Staff Attorney

The securities lawyers at Gana Weinstein LLP represent investors who have been mistreated by their brokers and suffered investment losses. Our firm is experienced in bringing claims against brokerage firms, such as Oak Hills Securities, Inc., to hold Wall Street responsible for their misconduct. When a client contacts our firm they can expect that our attorneys will have the knowledge and ability to evaluate the potential claims and analyze their trading activity for red flags of misconduct. Our consultations are designed to help provide clients with all available options.

Oak Hills Securities is a broker-dealer firm registered in the United States securities industry. The firm was formed in Oklahoma in 2007.

Oak Hills Securities, Inc. – By the Numbers:

Blaylock Van, LLC Investor Attorney

November 1, 2026 | by Staff Attorney

The securities lawyers at Gana Weinstein LLP represent investors who have been mistreated by their brokers and suffered investment losses. Our firm is experienced in bringing claims against brokerage firms, such as Blaylock Van, LLC, to hold Wall Street responsible for their misconduct. When a client contacts our firm they can expect that our attorneys will have the knowledge and ability to evaluate the potential claims and analyze their trading activity for red flags of misconduct. Our consultations are designed to help provide clients with all available options.

Blaylock Van is a broker-dealer firm that was registered in the United States securities industry. The firm was formed in California in 2007.

Blaylock Van, LLC – By the Numbers:

Etc Brokerage Services, LLC Investment Attorney

November 1, 2026 | by Staff Attorney

Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as Etc Brokerage Services, LLC. Many investors do not recognize broker misconduct in their accounts, and those that do are often hesitant to seek help. Broker misconduct spans many issues that violate industry rules, including unauthorized trading, breach of fiduciary duty, unsuitable asset allocation, and churning. The attorneys at Gana Weinstein LLP can analyze your accounts and investments to determine if there was misconduct in the handling of your account.

ETC Brokerage Services is a broker-dealer firm registered in the United States securities industry. The firm was formed in Connecticut in 2007.

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Navian Capital Securities LLC Investor Attorney

November 1, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as Navian Capital Securities LLC. Many investors do not recognize financial advisor misconduct when it happens, but there are steps that can be taken to recover investment losses. There are many different types of broker misconduct, including breach of fiduciary duty, failure to supervise, misrepresentation, and churning. The attorneys at Gana Weinstein LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.

Navian Capital Securities is a broker-dealer firm registered in the United States securities industry. The firm was organized in Delaware in 2006.

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Investment Placement Group Securities Lawyers

November 1, 2026 | by Staff Attorney

The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Investment Placement Group. Our firm can analyze your accounts and investments in order to determine if there was any broker misconduct in the handling of your accounts. Our analysis can reveal whether an investor has been a victim of misconduct such as unsuitable investments, unauthorized trading, excessive trading, or investment fraud.

Investment Placement Group is a broker-dealer firm registered in the United States securities industry. The firm was formed in California in 1983.

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PHX Financial, Inc. Investor Attorney

November 1, 2026 | by Staff Attorney

We represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as PHX Financial, Inc.. Our services cover a wide spectrum of broker misconduct, including unsuitable investments, failure to supervise, and losses in various investment products. Our firm can analyze your brokerage accounts, determine the extent of your investment losses, and understand the issues and remedies available.

PHX Financial is a broker-dealer firm registered in the United States securities industry. The firm was formed in Florida in 2006.

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Infinity Financial Services

November 1, 2026 | by Staff Attorney

The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Infinity Financial Services. Our firm can analyze your accounts and investments in order to determine if there was any broker misconduct in the handling of your accounts. Our analysis can reveal whether an investor has been a victim of misconduct such as unsuitable investments, unauthorized trading, excessive trading, or investment fraud.

Infinity Financial Services, the business name of Infinity Securities, is a broker-dealer that has provided general securities brokerage, mutual fund sales, and investment advisory services through clearing brokers on a fully disclosed basis. Incorporated in California in 2007, the firm is based in Oakland, California.

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Seven Points Capital, LLC

November 1, 2026 | by Staff Attorney

The securities lawyers at Gana Weinstein LLP represent investors who have been mistreated by their brokers and suffered investment losses. Our firm is experienced in bringing claims against brokerage firms, such as Seven Points Capital, LLC, to hold Wall Street responsible for their misconduct. When a client contacts our firm they can expect that our attorneys will have the knowledge and ability to evaluate the potential claims and analyze their trading activity for red flags of misconduct. Our consultations are designed to help provide clients with all available options.

Seven Points Capital is a proprietary trading broker-dealer that trades equity and stock option securities for its own account and does not carry customer accounts. Organized in New York in 2007 and headquartered on East 52nd Street in Manhattan, the firm owns a majority stake in the London-based Seven Points Capital UK and has had offices in Peoria, Arizona, and Fort Lauderdale, Florida.

Seven Points Capital, LLC – By the Numbers:

Spire Securities, LLC Securities Attorney

November 1, 2026 | by Staff Attorney

The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Spire Securities, LLC. Our firm can analyze your accounts and investments in order to determine if there was any broker misconduct in the handling of your accounts. Our analysis can reveal whether an investor has been a victim of misconduct such as unsuitable investments, unauthorized trading, excessive trading, or investment fraud.

Spire Securities is a broker-dealer that provides securities brokerage and trading services to individuals and institutions and supports financial professionals who offer investment advisory services. Formed in Virginia in 2007 and based in Reston, the firm is a wholly owned subsidiary of Spire Investment Partners, is affiliated with Spire Wealth Management, and clears transactions through National Financial Services and Pershing.

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