Articles Tagged with Osaic Wealth

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Briggs Matsko (Matsko), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Matsko 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 $50,000.00  on August 30, 2024.

Claimant alleges their representative recommended an unsuitable oil and gas program

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

FINRA BrokerCheck shows a final customer complaint on February 21, 2025.

Without admitting or denying the findings, Spuhler consented to the sanction and to the entry of findings that she refused to provide information and documents requested by FINRA in connection with its investigation into the allegations that she engaged in personal transactions with clients without prior approval from her member firm.

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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.

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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.

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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.

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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.

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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.

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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.

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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.

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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.

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