Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Norman Coates (Coates), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Coates 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 $125,000.00 on November 09, 2023.
Claimant alleges that during the time period 2016 to 2021, representative made unsuitable investment recommendations.