Securities Lawyers Blog
Elder financial abuse, unauthorized trading, churning, and broker theft are among the most serious forms of broker misconduct, and they can occur at brokerage firms of every size. The investor attorneys at Gana Weinstein LLP represent individuals and families who have suffered investment losses because of a dishonest or negligent financial advisor, including customers of firms such as Osaic Wealth, Inc. We review account activity, identify misconduct, and bring FINRA arbitration claims to recover what was lost.
Osaic Wealth is an independent broker-dealer and investment adviser that supports affiliated financial professionals with brokerage, advisory, insurance and retirement products, technology and practice management services. Formerly known as Royal Alliance Associates, which operated under that name since 1989, the Scottsdale, Arizona firm became the consolidated broker-dealer of the Osaic network in 2023 by combining eight former Advisor Group firms and is owned by Osaic, which is controlled by the private equity firm Reverence Capital Partners.
Osaic Wealth, Inc. – By the Numbers: