Osaic Wealth

There are Recent Customer Complaints with Broker B. david Goldstein in Firm Osaic Wealth, Inc.

March 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker B. david Goldstein (Goldstein), currently associated with Osaic Wealth, Inc., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Goldstein 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 $75,000.00 on March 04, 2025.

Per the Western International Securities, Inc. filing, customer alleges that an investment recommendation was unsuitable and misleading.

There are Recent Customer Complaints with Broker Kenneth Sledge in Firm Osaic Wealth, Inc.

March 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Sledge (Sledge), currently associated with Osaic Wealth, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sledge 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 $100,000.00 on August 30, 2024.

Claimants allege their representative recommended an unsuitable oil and gas program.

Broker April Wilson in Osaic Wealth, Inc. Firm Has Customer Complaint

March 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker April Wilson (Wilson), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 September 18, 2024.

Per Hornor, Townsend & Kent, LLC filing, claimants allege that HTK financial professional misled Claimant by recommending unsuitable investments and investment strategies in various illiquid alternative investments and thereafter recommending that Claimants hold those investments despite the availability of information concerning the poor prospects of these investments.

Broker Angela Bender in Osaic Wealth, Inc. Firm Has Customer Complaint

March 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Bender (Bender), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Bender 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 $150,000.00 on September 24, 2024.

The claimant alleges that the portfolio of investments recommended to him was not in keeping with his wishes.

There are Recent Customer Complaints with Broker Fridtjov Markussen in Firm Osaic Wealth, Inc.

March 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fridtjov Markussen (Markussen), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Markussen 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 $150,000.00 on September 24, 2024.

The claimant alleges that the recommended portfolio of investments was not in keeping with his wishes.

Broker John Gutowsky in Osaic Wealth, Inc. Firm Has Customer Complaint

March 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Gutowsky (Gutowsky), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Gutowsky 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 $400,000.00 on September 23, 2024.

Per Cetera Advisors LLC filing, claimant generally alleges fraud, negligence, breach of fiduciary duty, and breach of contract.

There are Recent Customer Complaints with Broker Steven Mccormick in Firm Osaic Wealth, Inc.

March 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Mccormick (Mccormick), previously associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one tax lien, alleging that Mccormick recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 22, 2024.

Without admitting or denying the findings, McCormick consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with its investigation into the allegations in a complaint made to FINRA.

There are Recent Customer Complaints with Broker Cory Schmelzer in Firm Osaic Wealth, Inc.

March 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cory Schmelzer (Schmelzer), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Schmelzer 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 $42,151.00 on November 26, 2024.

Customer alleges that discretionary trades made in her portfolio by the financial professional were not in her best interest.

There are Recent Customer Complaints with Broker Magdalena Woroniecki in Firm Osaic Wealth, Inc.

March 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Magdalena Woroniecki (Woroniecki), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Woroniecki 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 January 27, 2025.

Client alleges former RR made misrepresentations involving a VUL policy purchased in 2021.

There are Recent Customer Complaints with Broker John Mccarthy in Firm Osaic Wealth, Inc.

March 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Mccarthy (Mccarthy), currently associated with Osaic Wealth, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mccarthy 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 $53,000.00 on October 28, 2024.

Claimant alleges their RR recommended an unsuitable Oil and Gas investment.