One or more investors possibly experienced losses because of securities broker Douglas Albert Dulac (also known as Doug Dulac) [CRD: 1411702, Carmel, Maine], according to disclosures on FINRA BrokerCheck. Evidently, Dulac has been registered with United Planners' Financial Services of America A Limited Partner from June 26, 2008 to the present. Below, you can find out more about the disclosures involving Dulac and allegations concerning his investment recommendations.
Particularly, on September 4, 2024, a United Planners client filed FINRA Arbitration No. 24-01905 about Doug Dulac. Mainly, the client alleged that Dulac breached his fiduciary duty, made unsuitable recommendations, and breached a contract. For this reason, the client allegedly experienced damages linked to alternative investments. Therefore, the client requested $215,000 in compensation from United Planners or Dulac. This arbitration is pending a resolution.
Specifically, a client of United Planners contested Doug Dulac’s sales practices by filing FINRA Arbitration No. 22-00722. Allegedly, Dulac breached his fiduciary duty, made unsuitable recommendations, violated FINRA rules, and breached a contract relating to alternative investments. Consequently, United Planners opted to settle the matter on June 22, 2023, by compensating the client in the amount of $35,000.
Do you have concerns or questions regarding investments involving Douglas Dulac? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities lawyer. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances the costs. Dulac and brokerage firms Dulac worked for deny allegations of sales practice violations.
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