Osaic Institutions

There are Recent Customer Complaints with Broker John Pronovost in Firm Osaic Institutions, INC.

December 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Pronovost (Pronovost), previously associated with Osaic Institutions, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Pronovost recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 17, 2025.

The Statement of Claim alleges the clients were recommended speculative, high-risk investments despite their request to have a reliable portfolio that would generate some income and preserve capital.

There are Recent Customer Complaints with Broker Emilio Vazquez in Firm Osaic Institutions, INC.

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Emilio Vazquez (Vazquez), previously associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vazquez 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 $100,000.00 on April 13, 2022.

Firm breached written, oral, expressed, and implied terms and conditions of its agreements: warranties; and made false representations.

Broker Ronald Hamilton in Osaic Institutions, INC. Firm Has Customer Complaint

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Hamilton (Hamilton), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hamilton 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 $35,000.00 on July 26, 2022.

Clients allege representative communicated that the annuity calendar year and the annuity benefit year were interchangeable.

Broker Roderick Rodriguez in Osaic Institutions, INC. Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Rodriguez (Rodriguez), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 $160,000.00 on July 17, 2025.

Respondent, through its broker solicited the Claimant to invest in high risk Alternative Investments. These Alternative Investments were represented as safe, low risk investments that provided retirement income, the reality is that these investments were illiquid, speculative investments that were not suitable for the Claimant.

Broker Eric Garcia in Osaic Institutions, INC. Firm Has Customer Complaint

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Garcia (Garcia), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Garcia 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 $75,000.00 on September 29, 2025.

Claimant alleges Financial Professional misrepresented a REIT by not disclosing it was a risky, illiquid, complex, alternative investment product.

There are Recent Customer Complaints with Broker Fermin Mesina in Firm Osaic Institutions, INC.

October 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fermin Mesina (Mesina), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mesina 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 January 11, 2023.

Respondent failed to perform adequate due diligence and concentrated a large portion of the client’s net worth into this investment vehicle.

Broker Arthur Grossbard in Osaic Institutions, INC. Firm Has Customer Complaint

September 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arthur Grossbard (Grossbard), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Grossbard 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 $101,001.00 on March 03, 2023.

The Claimants allege that the financial professional recommended an alternative investment that was unsuitable.

There are Recent Customer Complaints with Broker Farhad Sediqi in Firm Osaic Institutions, INC.

September 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Farhad Sediqi (Sediqi), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sediqi 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 $85,647.97 on March 15, 2023.

Alleges investment presented to him was a short term investment with a yearly 4% return. Client also expressed concern with his annuity balance which had dropped significantly since inception. The client requested that the Jackson investment be stopped, investigated and to have his funds returned to him.

Broker Roderick Rodriguez in Osaic Institutions, INC. Firm Has Customer Complaint

September 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Rodriguez (Rodriguez), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 $50,000.00 on March 11, 2023.

Allegations are overconcentration of client assets into a single illiquid investment.

There are Recent Customer Complaints with Broker Derek Malone in Firm Osaic Institutions, INC.

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Malone (Malone), currently associated with Osaic Institutions, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Malone 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 May 08, 2023.

Client’s allege the broker misrepresented the CD.