Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Waterman (Waterman), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waterman 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 $500,000.00 on September 17, 2020.
Claimant alleges that the trust account was over concentrated in alternative investments