THE WEALTHPLAN LLC of GREAT NECK, NY is an SEC-registered investment adviser (CRD 306820). Regulatory assets under management: $87.5M.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| David Efrem Warshaw | MANAGING MEMBER/CCO | — |
| WARSHAW DAVID EFREM | MANAGING MEMBER/CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| — | civil | THE TRUSTEE DIRECTLY AUTHORIZED TRANSACTIONS FOR A VACATION AND A TRANSFER TO THE PERSONAL ACCOUNT OF THE GRANTOR. AFTER THE FACT, SHE STATED THAT ALL TRANSACTIONS WITHIN THE TRUST WERE UNAUTHORIZED. THE CLAIM WAS SETTLED TO AVOID THE COSTS AND FEES OF LITIGATION. | Final | $48K |