Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Springberg (Springberg), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Springberg 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 $31,026.00 on October 04, 2022.
Claim alleges representative failed to act as instructed and contrary to client interest by investing trust funds in unsuitable investments given risk tolerance and timeframe.