Osaic Wealth

There are Recent Customer Complaints with Broker Betsy Whipple in Firm Osaic Wealth, Inc.

February 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Betsy Whipple (Whipple), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Whipple 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 January 10, 2025.

Per Newbridge Securities Corp filing, breach of contract, violation of state securities statutes, breach of fiduciary duty, negligence and vicarious liability.

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

February 13, 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 Amy Marx in Firm Osaic Wealth, Inc.

February 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on February 03, 2025.

Respondent Marx failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Benjamin Person in Osaic Wealth, Inc. Firm Has Customer Complaint

February 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Person (Person), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Person 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 $20,000.00 on March 14, 2023.

Clients allege poor advice concerning the exchange of life insurance policies to variable annuities.

Broker B. David Goldstein in Osaic Wealth, Inc. Firm Has Customer Complaint

February 9, 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 3 disclosable events. These events include 3 customer complaints, alleging that Goldstein 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 $230,000.00 on April 03, 2024.

Misrepresentation

There are Recent Customer Complaints with Broker Betsy Whipple in Firm Osaic Wealth, Inc.

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Betsy Whipple (Whipple), currently associated with Osaic Wealth, Inc., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Whipple recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 06, 2024.

As per newbridge securities corporation, breach of fiduciary duty, negligence and negligent misrepresentation, breach of contract, failure to supervise, negligence – violation of regulation best interest.