Osaic Wealth

There are Recent Customer Complaints with Broker William Prestage in Firm Osaic Wealth, INC.

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Prestage (Prestage), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Prestage 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 $70,000.00 on January 26, 2021.

Claimant alleges recommendations of alternative investments were not suitable.

There are Recent Customer Complaints with Broker Richard Davis in Firm Osaic Wealth, INC.

March 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Davis (Davis), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $5,000.00 on February 17, 2021.

Customer alleges that representative provided poor advice on exchange of life insurance resulting in negative tax consequences for customer.

There are Recent Customer Complaints with Broker Edward Dougherty in Firm Osaic Wealth, INC.

February 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Dougherty (Dougherty), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dougherty 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 29, 2021.

Claimants allege the financial professional recommended investments that were unsuitable.

Broker Cynthia Bremer in Osaic Wealth, INC. Firm Has Customer Complaint

February 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Bremer (Bremer), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bremer 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 $40,000.00 on March 29, 2021.

Client alleges that an unauthorized transaction resulted in a loss of approximately $40,000.

Broker Ryan Fleming in Osaic Wealth, INC. Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Fleming (Fleming), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fleming recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 05, 2021.

According to Hornor Townsend Kent\\u00e2? ?s disclosure, the client alleged that certain REIT investments recommended to them were not suitable, and resulted in losses.

There are Recent Customer Complaints with Broker Anne Machesky in Firm Osaic Wealth, INC.

February 21, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 20, 2021.

Claimants allege that the registered representatives recommended inappropriate investments and strategies that caused damage to Claimants\\u00e2?? Estate.

Broker Dawn Strachan in Osaic Wealth, INC. Firm Has Customer Complaint

February 19, 2026 | by Staff Attorney

Currently financial advisor Dawn Strachan (Strachan), currently employed by brokerage firm Osaic Wealth, 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 $999,999.00 on April 29, 2021.

Clients allege 2015 Private Placement and Real Estate Investment Trusts (REITs) purchases were unsuitable.

There are Recent Customer Complaints with Broker James Horst in Firm Osaic Wealth, INC.

February 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Horst (Horst), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Horst 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 April 28, 2021.

The Claimant alleges that the registered representative recommended an investment that was unsuitable.

There are Recent Customer Complaints with Broker Michael Momper in Firm Osaic Wealth, INC.

February 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Momper (Momper), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Momper 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 03, 2021.

Clients allege suitability issues in alternative investment purchases

There are Recent Customer Complaints with Broker David Goodrich in Firm Osaic Wealth, INC.

February 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Goodrich (Goodrich), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goodrich 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 $130,000.00 on May 05, 2021.

Customers allege the firm did not conduct adequate due diligence and the firm and representative did not fully disclose all material facts regarding the investment.