Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Jennings (Jennings), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jennings 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 $16,500.00 on January 15, 2021.
Client alleges investments not made despite systematic deposits; Does not believe C-Shares were appropriate; one account has too much cash to be in line with her wishes; no reviews done