Osaic Wealth

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

May 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Esposito (Esposito), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Esposito 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 $10,000.00 on March 27, 2024.

Claimant alleges unsuitable recommendation and sale of an alternative investment.

There are Recent Customer Complaints with Broker Joseph Barnas in Firm Osaic Wealth, INC.

May 17, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Joseph Barnas (Barnas), currently employed by Osaic Wealth, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Barnas’s most recent customer complaint alleges that Barnas recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $80,000.00 on March 26, 2025.

The Claimants allege that RR recommended unsuitable structured note investments

There are Recent Customer Complaints with Broker Daniel Polansky in Firm Osaic Wealth, INC.

May 17, 2025 | by Staff Attorney

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

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 Robert Martino in Osaic Wealth, INC. Firm Has Customer Complaint

May 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Martino (Martino), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martino 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 $7,092.02 on April 09, 2025.

The client alleged that the advisor iformed them upon purchase that metlife stable value fund did not contain a market value adjustment fee; however, they were assessed a mva fee upon existing the fund within their 401k in 2024.

Broker Jeffrey Buchanan in Osaic Wealth, INC. Firm Has Customer Complaint

May 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Buchanan (Buchanan), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Buchanan 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 $189,897.00 on April 14, 2024.

Client alleges poor advice regarding the annuitization of her variable annuity contract.

Broker Keith Harper in Osaic Wealth, INC. Firm Has Customer Complaint

May 2, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Keith Harper (Harper) 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 Harper was employed by Osaic Wealth, INC. at the time of the activity. If you have been a victim of Harper’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $154,000.00 on May 23, 2024.

Allege that representative encouraged the investment in a private security that turned out to be fraudulent/a ponzi scheme. Clients’ initial investment was in December 2015 in the amount of $25,000. Thereafter, they made two other investments–one in June 2016 for $20,000 and one in November 2021 for $25,000.

There are Recent Customer Complaints with Broker Robert Schultz in Firm Osaic Wealth, INC.

April 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Schultz (Schultz), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schultz 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 June 17, 2024.

Claimant alleges unsuitable recommendation and sale of alternative investments.

Broker Bobb Meckenstock in Osaic Wealth, INC. Firm Has Customer Complaint

April 26, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Bobb Meckenstock (Meckenstock) 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 Meckenstock was employed by Osaic Wealth, INC. at the time of the activity. If you have been a victim of Meckenstock’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $154,000.00 on June 21, 2024.

Per the Independent Financial Group, LLC filing, allege that representative, for whom Mr. Meckenstock was the supervisor/OSJ, encouraged the investment in a private securities transaction that turned out to be fraudulent/a ponzi scheme. Clients’ initial investment was in December 2015 in the amount of $25,000. Thereafter, they made two other investments–one in June 2016 for $20,000 and one in November 2021 for $25,000.

Broker Tinh Vu in Osaic Wealth, INC. Firm Has Customer Complaint

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tinh Vu (Vu), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vu 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 $176,200.00 on July 05, 2024.

It is alleged that unsuitable investment recommendations were made in purported violation of legal and regulatory duties.

There are Recent Customer Complaints with Broker Donald Peabody in Firm Osaic Wealth, INC.

April 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Peabody (Peabody), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Peabody 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 $500,000.00 on July 02, 2024.

Per UMPQUA Investments, Inc. filing, claimant alleges Peabody made unsuitable investment recommendations concerning a real estate investment.