Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fabio Battaglia (Battaglia), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Battaglia 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 $5,960.94 on June 19, 2020.
Customer alleges misrepresentation in the sale of an insurance product causing a taxable event.