Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Chiodi (Chiodi), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chiodi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on June 08, 2023.
The Claimant alleges that the recommendation of one investment product did not meet with the customer’s needs and objectives, and that full disclosure regarding the investment and its features was not made.