Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 14, 2016 indicate that California-based United Planners’ Financial Services of America broker/adviser Brett Ellen has been the subject of customer disputes. The experienced attorneys at Fitapelli Kurta are interested in speaking to investors who have complaints regarding Mr. Ellen (CRD# 1460478).
Brett Ellen has spent thirty years in the securities industry and has been registered with United Planners’ Financial Services of America in Calabasas, California since 2014. Previous registrations include Securities America in Calabasas, California; National Planning Corporation in El Segundo, California; Royal Alliance Associates in New York, New York; NWNL Management Corporation in Des Moines, Iowa; Integrated Resources Equity Corporation; Christopher Weil & Company; and MidAmerica Management Corporation. He is a registered broker and investment adviser with 41 US states and territories.
According to his BrokerCheck report, Brett Ellen has received three customer complaints.
In 2009 a customer alleged Brett Ellen, while employed at Securities America, acted negligently, breached his fiduciary duty, committed fraud, misrepresented material facts, violated securities law, and converted funds. The complaint settled in 2012 for $250,000.
In 2008 a customer alleged Brett Ellen, while employed at National Planning Corporation, misrepresented and recommended unsuitable, illiquid investments. The complaint settled in 2011 for $14,999.
In 1995 a customer alleged Brett Ellen, while employed at Royal Alliance Associates, misrepresented and recommended unsuitable limited partnerships and mutual funds. The complaint settled in 1999 for $53,000.
If you have complaints regarding Brett Ellen, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.