Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Stephans (Stephans), previously associated with Osaic Fa, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stephans recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on April 23, 2025.
Customer alleges that REIT was misrepresented at the time of purchase.