DAVID COLIN MASTERMAN

DAVID COLIN MASTERMAN is currently employed as a Broker and/or Investment Adviser at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located at 48 WATER ST, STE 4, SKOWHEGAN, ME, 04976.

DAVID COLIN MASTERMAN has worked at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER since June 26, 2008

Disclosure History

DAVID COLIN MASTERMAN has 1 Disclosure Event(s).

Date: November 08, 2010
Category: Customer Dispute
Allegations: CLAIMANTS ALLEGE A FAILURE TO SUPERVISE ANOTHER REPRESENTATIVE WITH REGARD TO SALES OF PRIVATE INVESTMENTS AND MUTUAL FUNDS.
Settlement Amount: $105,000.00 10-03930

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All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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