Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 19, 2018 indicate that Texas-based United Planners’ Financial Services of America broker/adviser has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Thomas (CRD# 1074222).
Dexter Thomas has spent 34 years in the securities industry and has been registered with United Planners’ Financial Services of America in Dallas, Texas since November 2017. Previous registrations include LPL Financial in Dallas, Texas (2017); National Planning Corporation in Dallas, Texas (2006-2017); Invest Financial Corporation in Dallas, Texas (2006); AIG Financial Advisors in Dallas, Texas (2005-2006); SunAmerica Securities in Phoenix, Arizona (1989-2005); Southmark Financial Services (1988-1989); and Waddell & Reed (1983-1988). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 28, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 30, 1983; Series 7 (General Securities Representative Examination), which he obtained on January 21, 1992; Series 22 (Direct Participation Programs Representative Examination), which he obtained on November 7, 1983; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 13, 1983; and Series 24 (General Securities Principal Examination), which he obtained on March 26, 1992. He is a registered broker and investment adviser with nine US states: California, Florida, Illinois, Louisiana, Minnesota, North Carolina, Oklahoma, Texas, and Virginia.
According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.
In March 2018 a customer alleged Dexter Thomas, while employed at National Planning Corporation, violated FINRA rules and standards, committed violations of the Texas Securities Act, acted negligently, recommended unsuitable investments, breached his fiduciary duty, and participated in manipulative and deceitful conduct. The customer is seeking more than $94,300 in damages in the pending complaint.
In 2012 a customer alleged Dexter Thomas, while employed at National Planning Corporation, made unsuitable investment recommendations, failed to protect the customer’s assets, breached his fiduciary duty, and was negligent in his supervisory duties. The complaint settled for $30,000.
In 2002 a customer alleged Dexter Thomas, while employed at SunAmerica Securities, moved her funds from the market into cash management, causing financial harm, without her knowledge or permission. The complaint settled for more than $13,000.
If you or someone you know has a complaint regarding Dexter Thomas, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect 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.