Articles Tagged with Osaic Wealth

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

FINRA BrokerCheck shows a pending customer complaint on July 30, 2025.

THE CLAIMANT ALLEGES THAT THE RECOMMENDATION OF A MUNICIPAL BOND FUND WAS NOT IN KEEPING WITH HER INVESTMENT NEEDS AND OBJECTIVES, AND THAT FULL DISCLOSURE WAS NOT MADE REGARDING THE RISKS ASSOCIATED WITH THE INVESTMENT.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lei Wang (Wang), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wang 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 October 28, 2025.

Customer alleges that a VUL purchased in 2023 was misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Airung Liu (Liu), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Liu 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 14, 2022.

The Statement of Claim alleges the financial professional recommended an investment that was not suitable for the Claimant.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Giuliano (Giuliano), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Giuliano 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 24, 2022.

During the period of 2015-2022, Claimant alleges breach of fiduciary duty and negligence relating to the sale of real estate investment trusts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Polheber (Polheber), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Polheber 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 31, 2022.

Misrepresentation and Omission, Breach of Fiduciary Duty

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bobby Payne (Payne), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Payne 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 March 22, 2022.

Customer alleges that representative did not act in her best interest when recommending long term variable annuity product.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Adler (Adler), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Adler 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 October 09, 2025.

Client alleges that the financial professional did not properly invest assets in his account from 2022 – 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Airung Liu (Liu), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Liu 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 14, 2022.

The Statement of Claim alleges the financial professional recommended an investment that was not suitable for the Claimant.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Giuliano (Giuliano), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Giuliano 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 24, 2022.

During the period of 2015-2022, Claimant alleges breach of fiduciary duty and negligence relating to the sale of real estate investment trusts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Polheber (Polheber), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Polheber 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 31, 2022.

Misrepresentation and Omission, Breach of Fiduciary Duty

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