Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Buddy Levy (Levy), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Levy 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 $8,154.00 on July 28, 2021.
Client alleges advisor took direction from her husband on March 12th, 2020 and March 19th, 2020 for mutual fund exchanges in her IRA account without written authorization.