INVESTORS: United Planners’ Financial Services of America broker Douglas Albert Dulac is facing a pending customer dispute alleging recommendation of unsuitable investments, negligence, and fraud, among other violations.
Douglas Albert Dulac (CRD#: 1411702) is registered as a broker and investment adviser with United Planners’ Financial Services of America, where he’s been employed since 2008. Previously, Dulac was registered as a broker with United Securities Alliance from 2005 until 2007.
Dulac has one disclosure on his BrokerCheck report.
April 2022 Customer Dispute
Allegations: Breach of fiduciary duty, suitability, Securities Act, common law fraud and common law negligence, violation of FINRA Rule 2210, violation of FINRA rules 2010, IM-2310-2, and 2020, fraudulent misrepresentations and omissions, and breach of contract.
Broker Comment: [Redacted] is the only customer named that is a client of Doug Dulac.
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