Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Spina (Spina), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Spina 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 $750,000.00 on October 17, 2024.
Clients allege that equities were purchased and sold against their objectives and risk tolerance.