Articles Tagged with Osaic Wealth

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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.

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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.

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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.

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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.

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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.

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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.

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimants alleged that the Representative recommended a Real Estate Investment Trust that was unsuitable, and resulted in a substantial loss. Claimants further alleged that Representative misrepresented the risks and potential for future income.

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimant alleged that the Representative recommended multiple alternative investment products that result in substantial losses. Claimant further alleged that the Representative misrepresented the risks and potential for future income and growth.

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

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimant alleged that the Representative recommended two Real Estate Investment Trust products that resulted in substantial losses. Claimant further alleged that Representative misrepresented the risks and potential for future income and growth of the product(s).

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Frontino (Frontino), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Frontino 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 July 08, 2025.

Customer alleges REIT purchased in 2015 was unsuitable.

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