Osaic Wealth

Broker Timothy Judson in Osaic Wealth, INC. Firm Has Customer Complaint

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Judson (Judson), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Judson 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 July 21, 2023.

The claimants allege that recommendations of two products out of many investment recommendations were not in keeping with their investment needs and objectives.

There are Recent Customer Complaints with Broker Chad Kennedy in Firm Osaic Wealth, INC.

July 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Kennedy (Kennedy), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kennedy 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 October 19, 2023.

Client alleges financial professional failed to disclose material information related to annuity purchase.

Broker David Thiele in Osaic Wealth, INC. Firm Has Customer Complaint

July 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Thiele (Thiele), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Thiele 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 $325,000.00 on October 24, 2023.

Claimant alleges unsuitable recommendation and sale of alternative investment.

There are Recent Customer Complaints with Broker Brian Stern in Firm Osaic Wealth, INC.

July 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Stern (Stern), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stern 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 $845,000.00 on November 03, 2023.

Per Transamerica Financial Advisors, Inc.’s U5 Filing, client’s estate alleges that rep advised client to surrender her husband’s annuity after his death and subsequently sold her products that were unsuitable for her.

Broker Norman Coates in Osaic Wealth, INC. Firm Has Customer Complaint

June 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Norman Coates (Coates), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Coates 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 $125,000.00 on November 09, 2023.

Claimant alleges that during the time period 2016 to 2021, representative made unsuitable investment recommendations.

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

June 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Reidy (Reidy), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Reidy 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 November 10, 2023.

Claimant alleges that the representative recommended alternative investments that were unsuitable. Allegations include negligence and breach of fiduciary duty.

Broker Mark Stanley in Osaic Wealth, INC. Firm Has Customer Complaint

June 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Stanley (Stanley), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stanley 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 $165,466.00 on November 15, 2023.

Clients allege they were induced to surrender a variable annuity and invest the proceeds thereof in a managed account against their best interest.

There are Recent Customer Complaints with Broker Jack Yvars in Firm Osaic Wealth, INC.

June 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Yvars (Yvars), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Yvars 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 $104,624.00 on November 20, 2023.

Clients allege that certain mutual fund recommendations were not in keeping with their investment needs and objectives.

Broker Jason La Vigne in Osaic Wealth, INC. Firm Has Customer Complaint

June 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason La Vigne (La Vigne), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that La Vigne 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 $203,000.00 on November 20, 2023.

The Claimants allege that the financial professional sold them alternative investments that were unsuitable.

Broker David Lefever in Osaic Wealth, INC. Firm Has Customer Complaint

June 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lefever (Lefever), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lefever 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 November 21, 2023.

Claimant alleges misrepresentation and unsuitable recommendations with regard to the sale of an alternative investment.