Osaic Wealth

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

June 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Benson (Benson), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Benson 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 $5,000.00 on November 26, 2025.

Customer alleges unsuitability of a variable annuity sold in 2025 by the Financial Professional.

Broker Matthew Calhoun in Osaic Wealth, INC. Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

Currently financial advisor Matthew Calhoun (Calhoun), 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 pending customer complaint with a damage request of $83,000.00 on March 26, 2026.

Customer alleges that the purchase of a private placement made while the financial professional was affiliated with a prior broker-dealer in 2024 resulted in losses.

There are Recent Customer Complaints with Broker Mark Laflamme in Firm Osaic Wealth, INC.

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Laflamme (Laflamme), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Laflamme 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 $55,869.00 on March 29, 2026.

Clients alleged their advisor misrepresented the advisory fees for three (3) Select Separate Accounts since account inception in 2018. In addition, the clients alleged that their previous advisor executed trades in 2023 and 2024 which generated capital gains, which the clients informed the advisor that they expressly wanted to avoid.

Broker James Caplis in Osaic Wealth, INC. Firm Has Customer Complaint

June 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Caplis (Caplis), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Caplis 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 $200,000.00 on April 06, 2026.

Client Alleges they were misled regarding the sale of Spring Hills as the distributions have temporarily stopped and that the product was unsuitable.

There are Recent Customer Complaints with Broker John Bryant in Firm Osaic Wealth, INC.

June 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Bryant (Bryant), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bryant 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 $5,000,000.00 on April 09, 2026.

Customers allege financial professional mismanaged portfolio causing a substantial reduction in its value. Customer further alleges that financial professional failed to follow trading instructions, charged excessive advisory fees, and made poor recommendations in various products, including collateralized non-purpose loans and treasuries.

Broker Tara Clark in Osaic Wealth, INC. Firm Has Customer Complaint

June 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tara Clark (Clark), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 $5,000.00 on April 15, 2026.

Customer alleges financial professional failed to follow instructions to purchase an ETF in 2023.

There are Recent Customer Complaints with Broker Beau Sheedy in Firm Osaic Wealth, INC.

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Beau Sheedy (Sheedy), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sheedy 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 $18,484.18 on November 30, 2020.

Client alleges RR misrepresented an unsuitable variable annuity in 2019.

There are Recent Customer Complaints with Broker Roy Williams in Firm Osaic Wealth, INC.

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Williams (Williams), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 December 03, 2020.

It is alleged that several non-traded alternative products were inappropriately recommended and sold.

Broker Todd Ahrenholz in Osaic Wealth, INC. Firm Has Customer Complaint

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Ahrenholz (Ahrenholz), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ahrenholz 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 $25,000.00 on December 23, 2020.

Claimant alleges unsuitability in investment of alternative investment which caused financial harm. The allegations include negligence, professional negligence, violations of law, unsuitable recommendations, breach of contract, breach of fiduciary duty and breach of securities industry rules and regulations.

Broker Kyle Jobin in Osaic Wealth, INC. Firm Has Customer Complaint

May 27, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Kyle Jobin (Jobin) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Jobin was employed by Osaic Wealth, INC. at the time of the activity. If you have been a victim of Jobin’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on December 23, 2020.

The Wisconsin Office of the Commissioner of Insurance (‘OCI’) denied Mr. Jobin’s application for permanent individual intermediary agent’s insurance license based on Mr. Jobin’s ‘Yes’ answer to the question ‘Are you currently a party to, or have you ever been found liable in, any lawsuit, arbitrations, or mediation proceeding involving allegations of fraud, misappropriation or conversion of funds, misrepresentation or breach of fiduciary duty?’