Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Shelby (Shelby), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shelby recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 15, 2020.
CLAIMANTS ALLEGE THEIR ACCOUNTS WERE OVERCONCENTRATED IN REIT’s AND ALTERNATIVE INVESTMENTS