Erez Law is currently investigating former United Planners’ Financial Services Of America A Limited Partner broker Jeffrey Morand (CRD# 728191) regarding unsuitable investment recommendations. He has been registered with Independent Financial Group, LLC in Englewood, Colorado since 2019. Previously, he was registered with Rice Brown Financial Services in Englewood, Colorado from 2013 to 2019 and with United Planners’ Financial Services Of America A Limited Partner in Englewood, Colorado from 2008 to 2018.
Jeffrey Morand Customer Complaints
He has been the subject of six customer complaints between 2003 and 2022, four of which were denied and one was closed without action, 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 investment losses and 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, United Planners’ Financial Services Of America A Limited Partner may be liable for investment or other losses suffered by Jeffrey Morand’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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