Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Goodrich (Goodrich), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goodrich 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 $130,000.00 on May 05, 2021.
Customers allege the firm did not conduct adequate due diligence and the firm and representative did not fully disclose all material facts regarding the investment.