Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Henry Nunez (Nunez), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nunez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $967.00 on June 04, 2025.
Trustee met with a banker at the subscribing institution where Osaic Institutions has an office located. She expressed verbal concern that an annuity she agreed to purchase in November 2024 was never issued.\, \, Trustee followed up with an email indicating she met with the FP once only on 11/12/2024. Trustee further alleges signature made on 05/02/2025 was not signed by her. Trustee is certain of this because she would have noticed her name was misspelled and the tin used for the trust actually belonged to the grantor. She indicates any signatures made after 11/12/2024 were forged, or copied and pated on all documents.