Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Mcmillan (Mcmillan), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcmillan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.
Claimant alleged that the Representative recommended two Real Estate Investment Trust products that resulted in substantial losses. Claimant further alleged that Representative misrepresented the risks and potential for future income and growth of the product(s).