Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Caplis (Caplis), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Caplis 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 $200,000.00 on April 06, 2026.
Client Alleges they were misled regarding the sale of Spring Hills as the distributions have temporarily stopped and that the product was unsuitable.