Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Reidy (Reidy), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Reidy 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 $150,000.00 on November 10, 2023.
Claimant alleges that the representative recommended alternative investments that were unsuitable. Allegations include negligence and breach of fiduciary duty.