Securities Lawyers Blog
A FINRA disciplinary action against a brokerage firm resolves the regulator’s case, not the customers’ losses. Investors who held accounts at Osaic Institutions, Inc. during the periods covered by the actions below may have claims of their own. The securities arbitration attorneys at Gana Weinstein LLP represent investors in FINRA arbitration against brokerage firms and can review your accounts, free of charge, to tell you whether the conduct FINRA described affected you.
Osaic Institutions is a broker-dealer that builds and supports investment and wealth management programs for banks and credit unions, offering brokerage, advisory platforms, technology and access to institutional money managers. Founded in 1993 by a group of community banks together with the Connecticut Bankers Association and based in Meriden, Connecticut, the firm is part of Osaic, one of the largest independent wealth management networks in the United States.
Osaic Institutions, Inc. – By the Numbers: