Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alex Rosen (Rosen), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 19, 2022.
The client alleges the RR misrepresented variable annuities purchased in 2021 and 2022.