Osaic Institutions

Broker William Campbell in Osaic Institutions, INC. Firm Has Customer Complaint

April 30, 2025 | by Staff Attorney

Currently financial advisor William Campbell (Campbell), currently employed by brokerage firm Osaic Institutions, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $39,000.00 on June 07, 2024.

The sale of a public non-traded REIT was unsuitable and the firm failed to conduct due diligence.

Broker John Pigeon in Osaic Institutions, INC. Firm Has Customer Complaint

April 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Pigeon (Pigeon), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pigeon 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 $120,000.00 on June 05, 2024.

Firm and FP failed to observe high standards of commercial honor and just and equitable principles of trade.

Broker Roberto Leslie in Osaic Institutions, INC. Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roberto Leslie (Leslie), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Leslie 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 $250,000.00 on June 27, 2024.

Failure to properly allocate and diversify claimants portfolio

There are Recent Customer Complaints with Broker Kenneth Wright in Firm Osaic Institutions, INC.

April 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 02, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

There are Recent Customer Complaints with Broker Nicole Turosky in Firm Osaic Institutions, INC.

April 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimant alleges that on January 31st 2024, the FA failed to follow instructions and instead, moved funds into an unsuitable/unauthorized program (cash/bank sweep program).

Broker Walter Squires in Osaic Institutions, Inc. Firm Has Customer Complaint

April 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Squires (Squires), previously associated with Osaic Institutions, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Squires 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 $300,000.00 on August 07, 2024.

Claimant alleges two alternative investments purchased in 2014 were illiquid and risky.

Broker Nicole Turosky in Osaic Institutions, Inc. Firm Has Customer Complaint

March 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 14, 2025.

Claimant alleges that at the end of January 2024, the FA failed to follow instructions and instead, moved funds into an unsuitable program.

There are Recent Customer Complaints with Broker Cynthia Giovacchino in Firm Osaic Institutions, Inc.

March 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Giovacchino (Giovacchino), currently associated with Osaic Institutions, Inc., has at least 10 disclosable events. These events include 10 customer complaints, alleging that Giovacchino 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 $55,000.00 on September 12, 2024.

Customer alleges that in May 2012 and December 2014 the representative recommended an investments in two real estate investment trusts that were unsuitable for the customer’s investment profile and risk tolerance.