Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Vandy (Vandy), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vandy 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 $5,000.00 on October 31, 2022.
Client alleges the financial professional failed to disclose material information related to an annuity purchase.