Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Diana Leon (Leon), currently employed by Osaic Wealth, INC. has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), Leon’s most recent customer complaint alleges that Leon recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.
FINRA BrokerCheck shows a pending customer complaint on January 13, 2026.
The customer, by her counsel, alleges that a structured note recommended by the representative was not in keeping with the client’s needs and objectives, and/or that the investment was not fully explained to the client.