Articles Tagged with Osaic Wealth

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Shanine (Shanine), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Shanine 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 $5,000.00 on September 12, 2022.

Client alleges he did not sign a form granting financial professional discretionary authority, and thus any trades executed were unauthorized.

Continue Reading

| by

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $2,167,458.00 on October 12, 2022.

The plaintiff alleges that the representative mishandled   beneficiary change forms and misrepresented when the change forms were received causing the plaintiff to lose one half of the inheritance at issue. Allegations include breach of fiduciary duty, negligent undertaking, negligent representation and gross negligence.

Continue Reading

| by

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $2,167,458.00 on October 12, 2022.

The plaintiff alleges that the representative mishandled   beneficiary change forms and misrepresented when the change forms were received causing the plaintiff to lose one half of the inheritance at issue. Allegations include breach of fiduciary duty, negligent undertaking, negligent representation and gross negligence.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $155,000.00 on September 24, 2025.

Misappropriation alleged with regard to loan funds

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cole Louviere (Louviere), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Louviere 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 December 16, 2022.

The client alleges he lost $100,000.00 due to the financial advisor failing to follow his instructions to exchange Franklin Funds on 12/12/2022.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Cartwright (Cartwright), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cartwright 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 $75,000.00 on December 16, 2022.

Claimants allege certain direct/limited partnership investment recommendations were not in keeping with their needs and objectives; that the product features were not adequately described; and that their portfolio was overly concentrated in such products, causing alleged losses.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Oneal (Oneal), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Oneal 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 $30,000.00 on December 30, 2022.

Customer alleges that representative’s recommendation to redeem fixed annuity and invest in mutual funds was misrepresented and unsuitable.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Matchett (Matchett), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Matchett 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 $8,416.94 on January 09, 2023.

Client alleges she requested the RR to maintain $80,000 in her KeyBank savings account rather than investing the full amount of $250,000 in four different Franklin mutual funds.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on January 11, 2023.

CLAIMANTS ALLEGE THEY WERE RECOMMENDED UNSUITABLE INVESTMENTS.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Savaglia (Savaglia), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Savaglia 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 January 17, 2023.

As per Cetera’s filing, Claimants allege they were recommended unsuitable investments, and failure to conduct adequate due diligence.

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2025, Gana Weinstein LLP
JUSTIA Law Firm Blog Design