Erez Law is currently investigating former United Planners’ Financial Services of America broker Douglas Dulac (CRD# 1411702) regarding alternative investment losses due to investment fraud. He has been registered with United Planners’ Financial Services of America in Carmel, Maine since 2008.
Douglas Dulac Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
April 2022. “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.” The case is currently pending. The complaint was regarding alternative investments.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, United Planners’ Financial Services of America may be liable for investment or other losses suffered by Douglas Dulac’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.