Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Malone (Malone), currently associated with Osaic Institutions, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Malone 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 $150,000.00 on May 08, 2023.
Client’s allege the broker misrepresented the CD.