Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Horst (Horst), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Horst 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 $50,000.00 on April 28, 2021.
The Claimant alleges that the registered representative recommended an investment that was unsuitable.