Haselkorn & Thibaut Has Opened an Investigation into Steve Story of United Planners’ Financial Services of America in Ogden, Utah. If you are an investor with concerns about your accounts or history with Steve Story (CRD# 2574091), now is the time to take proactive steps. With over 50 years of combined experience, a 98% success rate, and millions recovered for clients, Haselkorn & Thibaut (investmentfraudlawyers.com) is currently investigating activity involving Steve Story and encourages investors to seek a free and confidential consultation at 1-888-885-7162. There is no obligation, and the firm works on a “no recovery, no fee” basis.
About Steve Story — United Planners’ Financial Services of America, Ogden, Utah
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Steve Story is a financial advisor and registered broker based in Ogden, Utah, affiliated with United Planners’ Financial Services of America. He does business as Steve Story and Associates. According to the Financial Industry Regulatory Authority (FINRA), Steve Story holds more than 30 years of industry experience and has been registered with United Planners’ since 2001 (as a broker) and 2003 (as an investment advisor). His prior affiliations include Northwestern Mutual Investment Services and Robert W. Baird & Company.
His credentials include a range of industry qualifying examinations, such as:
- Securities Industry Essentials (SIE)
- General Securities Representative (Series 7)
- Investment Company Products/Variable Contracts Representative (Series 6)
- Uniform Investment Adviser Law (Series 65)
- Uniform Securities Agent State Law (Series 63)
- NYSE Branch Manager (Series 12)
- Investment Company Products/Variable Contracts Principal (Series 26)
Overview of Disclosures and Complaints
It is critical for investors to be informed about the compliance history and client complaint record of their financial advisor. Below, you will find an in-depth overview of the issues and concerns disclosed in public records and from a comprehensive independent review.
| Date / Year | Allegation / Issue | Status / Outcome |
|---|---|---|
| January 2026 | Client alleged Steve Story, as a representative of United Planners, forged a customer’s signature in connection with a Jackson annuity transaction. The complaint cited unspecified damages. | Complaint was withdrawn in February 2026. |
| 2008 | Client alleged that Mr. Story misrepresented the suitability of investments to generate high commissions. | Settled in 2010 for $400,000. |
FINRA Rules: What Investors Should Know
Financial advisors registered with FINRA are held to strict ethical standards. Two key regulations that apply are:
- FINRA Rule 2010: Requires advisors to “observe high standards of commercial honor and just and equitable principles of trade.” Actions like forgery—if proven—may be deemed violations if they occur in the course of conducting business.
- FINRA Rule 2020: Prohibits the use of manipulative, deceptive, or fraudulent devices when facilitating securities transactions or making investment recommendations. This includes the misrepresentation of material facts that are essential to investment decisions.
Summary of Disclosures and Independent Research Results
Following an in-depth review of public resources, including FINRA’s BrokerCheck database and a broad litigation/news search, here’s what was found in addition to the above complaints:
- No ongoing customer-initiated disputes or arbitrations for monetary damages.
- No criminal or civil actions or judicial events reported.
- No regulatory actions or investigations by FINRA or other industry associations.
- No bankruptcy filings or financial liens.
- No terminations for cause or unrelated outside business disclosures.
- No SEC enforcement orders, administrative actions, cease-and-desist proceedings, or settled actions under his name or CRD number.
- No state-level administrative actions, suspensions, or fines appear in the jurisdictions where United Planners operates.
- No major lawsuits, class actions, or unfavorable press coverage in financial media or other news outlets.
Are There Red Flags for Investors?
While there are no current disciplinary or regulatory actions against Steve Story, the following points may warrant additional attention from concerned investors:
- A 2026 client complaint alleging forgery of a customer’s signature—though subsequently withdrawn—raises questions that investors should investigate directly with any advisor.
- A prior investor dispute regarding suitability and high commissions that resulted in a significant settlement ($400,000 in 2010).
It’s important to note that not all investor complaints prove wrongdoing. However, patterns or allegations—especially if they allege forgery, misrepresentation, or unsuitable investment recommendations—are concerns that prudent investors should consider and discuss.
What You Can Do Next — Protect Yourself and Your Investments
If you are unsure about your accounts with Steve Story, or if you were impacted by any of the above situations, Haselkorn & Thibaut can provide guidance and a confidential review of your investment accounts and complaint options. Seeking a professional opinion as soon as you detect irregular account activity, signatures you do not recognize, or receive high-commission investment recommendations is a smart move to protect your financial future.
Your next step could make a real difference: Call Haselkorn & Thibaut at 1-888-885-7162 for a free, confidential consultation. Our team will review your accounts, help you understand your rights, and explain your potential recovery options. There is no fee unless we recover your losses.
Why Investors Choose Haselkorn & Thibaut
- Over 50 Years of Combined Experience in fighting for victims of investment fraud and broker misconduct
- 98% success rate — Millions recovered for clients nationwide
- No Recovery, No Fee. You pay nothing unless money is recovered for you.
Take control of your financial future. If you have any concerns regarding Steve Story, United Planners’ Financial Services of America, or any other investing matter — you owe it to yourself to get answers. Call Haselkorn & Thibaut now at 1-888-885-7162 for your no-risk, confidential consultation. Your peace of mind is our highest priority.
