Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Douglass (Douglass), currently associated with Osaic Wealth, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Douglass recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on September 27, 2021.
From the period of 2012 -9/27/2021, Claimant alleges his account was overconcentrated in alternative investments.