Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Dulac (Dulac), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, alleging that Dulac 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.
