Erez Law is currently investigating United Planners’ Financial Services Of America A Limited Partner broker James Tausz (CRD# 442956) related to alternative investment losses. He has been registered with United Planners’ Financial Services Of America A Limited Partner in Clarion, Iowa, since 2006 and with Bradford Financial Center in Clarion, Iowa, since 1999.
James Tausz Customer Complaints
He has been the subject of six customer complaints between 1998 and 2022, three of which were denied and one was closed without action, according to his CRD report. The most recent complaint was regarding:
October 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 investment losses, and it took place while he was registered with United Planners’ Financial Services Of America A Limited Partner.
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, FIRM may be liable for investment or other losses suffered by James Tausz’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.
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