Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Dougherty (Dougherty), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dougherty 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 $50,000.00 on March 29, 2021.
Claimants allege the financial professional recommended investments that were unsuitable.