United Planners’ Financial Advisor Aaron Pierce Sevigny Has Disclosed Nine Customer Complaints

• August 13, 2026
• Union Planners

Broker’s Background

 

Aaron Pierce Sevigny (CRD #: 4314368) is registered with United Planners’ Financial Services of America a Limited Partner in Bonita Springs, FL. Sevigny’s past employers include Mony Securities Corporation, Triad Advisors, Inc. and Financial Advisory Consultants, LLC.

 

Current and Past Allegations of Conduct Leading to Investment Loss

 

According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2026, Aaron Pierce Sevigny became the subject of a customer dispute alleging: “Negligence, gross negligence, misrepresentation, omission of material fact, breach of fiduciary duty”.

 

In addition, Aaron Pierce Sevigny has been the subject of eight past FINRA disclosures, including the following:

• May 2026 – Customer allegations of breach of fiduciary duties, violation of FINRA Rules, breach of contract and negligence. Damage amount requested was $499,999.00.
• May 2026 – Customer allegations of breach of fiduciary duty, violation of FINRA rules, breach of contract and negligence. Damage amount requested was $499,999.00.
• April 2026 – Customer allegations of breach of fiduciary duty, violation of FINRA rules, breach of contract and negligence. Damage amount requested was $499,999.00.
• January 2026 – Customer allegations of violation of section 10(b) of the Exchange Act and Rule 10b-5, section 20(a) Controlling Person Liability Under the Exchange Act, violation of RICO, 18 U.S.C. § 1962(c), RICO conspiracy, 18 U.S.C. § 1962(d), New Jersey Consumer Fraud Act, N.J.S.A. 56:8-1 et seq., Common-Law Fraud, breach of fiduciary duty, negligence, aiding and abetting fraud and breach of fiduciary duty. Damage amount requested $2,000,000.00.
• January 2026 – Customer allegations of breach of contract and warranties, promissory estoppel, violation of the consumer protection and deceptive trade practices act, violation of state securities statutes, fraud, breach of fiduciary duty, negligence and gross negligence, misrepresentation/ommission and negligent misrepresentation/omission, unjust enrichment, common law, statutory claims and damages, and vicarious & control person liability. Damage amount requested $1,000,000.00.
• July 2021 – Customer allegations of unsuitability, common law fraud, breach of contract, breach of fiduciary duty, negligence, aiding and abetting fraud and violation of Florida Securities Act. Settlement amount was $102,600.00.
• May 2021 – Claimant alleges breach of fiduciary duty, breach of contract negligence and negligent supervision. Damage amount requested was $499,999.00.
• January 2021 – Claimant alleges breach of fiduciary duty, failure to supervise and unsuitability. Settlement amount was $25,000.00.

For a copy of Aaron Pierce Sevigny’s FINRA Broker Check, click here

We Help Investors Recover Investment Losses

 

The Wolper Law Firm is representing clients who invested with Aaron Sevigny and were sold a smattering of speculative and, in some cases, fraudulent securities.  Among the securities sold by Aaron Sevigny were syndicated conservation easements, oil and gas drilling partnerships, private placements and call and put options.

 

A syndicated conservation easement is a securitized corporate structure that owns real estate with a unique habitat or ecosystem.  The landowner foregoes the right to develop that land in exchange for favorable tax deductions that can be secured only if the land is deemed to have a “conservation purpose.”   In theory, the expense of protecting the land is absorbed by private citizens instead of the government and there is less development and impact to the ecosystem, which makes the investment socially conscious.  While conservation easements are not new, as with everything, when Wall Street gets involved, the rules get bent and broken.

 

Over the last several years, syndicated conservation easements have become a profit center for small and mid-size brokerage firms.  Opportunistic brokerage firms around the country have marketed and sold conservation easements to retail clients as a means to achieve meaningful tax savings.  The problem is that many of the properties underlying the syndicated conservation easements are not unique in any way, shape or form.  They are run-of-the-mill properties that financial industry professionals are acquiring and, almost overnight, artificially inflating the value in order to support the sale of bogus tax deductions to retail clients.

 

The IRS, Department of Justice and Congress have all taken notice.  Over 1,100 cases are now pending in the tax court where the IRS has invalidated the claimed tax deductions and mandated that investors forfeit their investment principal, pay their back taxes and extraordinary fines and interest.

 

Similarly, private placements are unique in that, like the name says, they are not offered publicly. These stocks or bonds are usually offered only to accredited investors and brokerage institutions, as opposed to the open market. Private placement securities do not have to be registered with the SEC and may also be referred to as unregistered securities. They do not have the same oversight as public securities and carry a higher risk along with the higher potential reward. However, because they are riskier, federal securities laws limit them to investors who are financially sophisticated and are able to sustain the risk of loss, and so they don’t need the protections of a public securities offering.

 

In recent years, Financial Advisors recommended energy sector investments because the price of oil was high, which helped the balance sheet of energy sector companies and, in turn, their stock price.  Moreover, energy companies paid above-average dividends to shareholders.  The energy sector is extraordinarily volatile because many of the companies are engaged in speculative drilling projects that may prove worthless.  To the extent that the drilling operations are less successful that projections, it can cause a cascading effect to occur in the value of energy sector securities.  Customers that were recommended to invest in energy sector securities for either price appreciation or high income experienced substantial and often times irreplaceable losses in the value of their investments.

 

Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

 

Reasonable basis suitability requires that a recommended investment or investment strategy be suitable or appropriate for at least some investors. Reasonable basis suitability requires an advisor to conduct adequate due diligence so that he or she can determine the risks and rewards of the investment or investment strategy.

 

Quantitative suitability requires a brokerage firm or financial advisor with actual or de facto control over a customer’s account to have a reasonable basis for believing that a series of recommended transactions – even if suitable when viewed in isolation – is not excessive and unsuitable for the customer when taken together in light of the customer’s investment profile. No single test defines excessive activity, but factors such as the turnover rate, the cost-equity ratio, and the use of in-and-out trading in a customer’s account may provide a basis for a finding that a member or associated person has violated the quantitative suitability obligation. Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

 

The Wolper Law Firm represents investors nationwide in securities litigation and arbitration on a contingency fee basis. Matt Wolper, the Managing Principal of the Wolper Law Firm, is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies, and securities. Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters. We can be reached at (855) 289-7868 or by email at mwolper@wolperlawfirm.com