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Articles Posted in United Planners Financial Services

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United Planners Fined $100K By Massachusetts for Inadequate Supervision of a Broker

Massachusetts Secretary of the Commonwealth William Galvin’s office has fined United Planners Financial Services of America $100K for failing to properly supervise broker Thomas T. Riquier. The broker was charged last year for violating the state’s securities laws over his alleged involvement in a real estate scam that defrauded investors…

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