Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carl Gill (Gill), previously associated with United Planners’ Financial Services of America A Limited Partner, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Gill recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $215,000.00 on September 10, 2024.
Breach of fiduciary duty, suitability and breach of contract.
