Osaic Wealth

Broker Xavier Felipe in Osaic Wealth, INC. Firm Has Customer Complaint

August 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Xavier Felipe (Felipe), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Felipe 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 $93,531.23 on March 12, 2020.

Claimant alleges unsuitable investments, breach of fiduciary duty, violation of FINRA Rule 2090, and violation of FINRA Rule 2010.

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

August 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Robare (Robare), currently associated with Osaic Wealth, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Robare recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 09, 2020.

Claimants allege an unsuitable investment strategy between 2013-2015.

There are Recent Customer Complaints with Broker Fabio Battaglia in Firm Osaic Wealth, INC.

August 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fabio Battaglia (Battaglia), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Battaglia 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 $5,960.94 on June 19, 2020.

Customer alleges misrepresentation in the sale of an insurance product causing a taxable event.

Broker Stephen Denari in Osaic Wealth, INC. Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Denari (Denari), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Denari 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 $900,000.00 on March 18, 2020.

Claimants allege an unsuitable investment strategy beginning in 2005.

Broker Espen Platou in Osaic Wealth, INC. Firm Has Customer Complaint

July 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Espen Platou (Platou), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Platou 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 $5,365.00 on March 20, 2020.

Client alleges that he instructed that funds sent to his outside money manager be kept in cash, but instead they were invested in the market. The client is requesting the account loss in value. It was determined that the third-party money manager made the error.

There are Recent Customer Complaints with Broker Thomas Donahue in Firm Osaic Wealth, INC.

July 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Donahue (Donahue), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Donahue 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 $115,000.00 on April 01, 2020.

The customer alleged that the representative invested his assets in unsuitable REIT’s without his knowledge, mismanaged his mutual fund portfolio with an untimely recommendation to liquidate, made a poor recommendation to purchase an annuity with a high cost income rider, and misrepresented the risk of these investments; beginning in and around September of 2005.

There are Recent Customer Complaints with Broker Christopher Calandra in Firm Osaic Wealth, INC.

July 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Calandra (Calandra), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Calandra 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 July 17, 2020.

Unsuitable investment recommendation is alleged

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

July 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 09, 2020.

Client alleges advisor recommended unsuitable investments. Allegation Activity Dates: 2011 – 2016.

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

July 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Steves (Steves), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Steves 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 July 15, 2020.

Claimant alleges that Mr. Steve’s failed to move one hundred percent of his portfolio to cash.

Broker Carmine Lopresti in Osaic Wealth, INC. Firm Has Customer Complaint

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carmine Lopresti (Lopresti), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lopresti 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 17, 2020.

Claimants allege fraud, negligence, breach of fiduciary duty, and breach of contract