Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Stern (Stern), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stern 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 $845,000.00 on November 03, 2023.
Per Transamerica Financial Advisors, Inc.’s U5 Filing, client’s estate alleges that rep advised client to surrender her husband’s annuity after his death and subsequently sold her products that were unsuitable for her.