Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Fockler (Fockler), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fockler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $5,000.00 on April 01, 2022.
Client alleges that the liquidation of an equity holding was unauthorized.