Investors apparently complained about securities broker Cary Edward Urich [CRD: 2132001, Greenville, South Carolina], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Urich joined Vanderbilt Securities LLC, Consolidated Portfolio Review Corp, and Vanderbilt Advisory Services, all located in Greenville, South Carolina, in 2024-2025. He previously worked with United Planners’ Financial Services of America from September 21, 2017 to December 31, 2023. Keep reading to find out more about the client disputes involving Cary Urich.
Notably, a client filed a complaint about Cary Urich. The client alleged that Urich made unsuitable recommendations, breached his fiduciary duty, and was negligent. As a result, the client allegedly sustained damages linked to leveraged investments. Thus, on September 13, 2024, United Planners’ Financial Services of America settled this matter by paying the client $325,000.00 in damages.
Particularly, a client of United Planners’ Financial Services of America disputed Cary Urich’s sales practices by filing FINRA Arbitration No. 22-01463. Allegedly, Urich made misrepresentations and omissions, breached his fiduciary duty, and violated FINRA Rules. It appears that Urich caused the client to sustain damages relating to leveraged investments. So, United Planners opted to settle the matter on August 29, 2023, by compensating the client in the amount of $450,000.00.
Cary Urich was discharged from Raymond James Financial Services Inc. on October 21, 2010, after the firm alleged misrepresentation relating to her prior employment. Just weeks earlier, on September 27, 2010, Urich had resigned from JJB Hilliard WL Lyons LLC after allegedly accepting a gift from a client without firm approval.
Did you experience losses because of Cary Urich? You can touch base with Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm works on a contingency fee arrangement and advances all costs. Urich and brokerage firms Urich worked for deny accusations of sales practice violations.
Investors potentially experienced sales practice violations by securities broker James Ward Margraf (also known as Jim Margraf) [CRD: 6517554, Springfield, Missouri], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James Margraf worked for Center Street Securities Inc. from August 22, 2016, to December 1, 2023. See the following information to discover more about […]
Investors might have suffered losses due to securities broker Michael Joseph Kelley [CRD: 1021878, Winter Park, Florida], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kelley worked for LPL Financial LLC from September 8, 2009, to the present and Charter Advisory Corporation from September 30, 1999, to the present. See […]
Investors potentially incurred losses because of securities broker Eric Lee Diamond (also known as Rick Diamond) [CRD: 1602991, Wellington, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Eric Diamond worked for Fidelity Brokerage Services LLC from January 10, 2007, to the present, and Strategic Advisers LLC from March 31, 2025, to […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com