Osaic Wealth

Broker Paz Chandra in Osaic Wealth, INC. Firm Has Customer Complaint

April 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paz Chandra (Chandra), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chandra 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 31, 2020.

CUSTOMER ALLEGES UNSUITABLE ALTERNATIVE INVESTMENT RECOMMENDATION. ACTIVITY PERIOD: 1/2015\<char_lb_r>\, TO 12/2020.

Broker Brad Small in Osaic Wealth, INC. Firm Has Customer Complaint

April 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brad Small (Small), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Small 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 $24,750.00 on January 04, 2021.

Claimants allege breach of contract and unjust enrichment.

There are Recent Customer Complaints with Broker Eric Johnson in Firm Osaic Wealth, INC.

April 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $54,567.96 on January 12, 2021.

Johnson was a subject of the customer\\u2019s complaint against his member firm that asserted the following causes of action: breach of contract and warranties; promissory estoppel; violation of state securities statutes; breach of fiduciary duty; negligence and gross negligence; misrepresentation/omission & negligent misrepresentation/omission; unjust enrichment; failure to supervise; common law and statutory claims and damages; and vicarious & control person liability.

Broker Richard Lane in Osaic Wealth, INC. Firm Has Customer Complaint

April 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Lane (Lane), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lane 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 $25,000.00 on January 21, 2021.

Claimants allege breach of fiduciary duty, violation of FINRA Rules, breach of contract and negligence.

There are Recent Customer Complaints with Broker Diana Leon in Firm Osaic Wealth, INC.

April 11, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Diana Leon (Leon), currently employed by Osaic Wealth, INC. has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), Leon’s most recent customer complaint alleges that Leon recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint on January 13, 2026.

The customer, by her counsel, alleges that a structured note recommended by the representative was not in keeping with the client’s needs and objectives, and/or that the investment was not fully explained to the client.

There are Recent Customer Complaints with Broker Scot Regner in Firm Osaic Wealth, INC.

April 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scot Regner (Regner), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Regner 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 $181,161.16 on February 05, 2026.

Customer reported fraudulent withdrawals from two accounts without her knowledge or notification

There are Recent Customer Complaints with Broker Russell Stout in Firm Osaic Wealth, INC.

April 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Stout (Stout), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stout 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 February 10, 2026.

Client alleges financial professional failed to follow instructions and placed unauthorized trades in a discretionary account.

There are Recent Customer Complaints with Broker Timothy Johnson in Firm Osaic Wealth, INC.

April 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 31, 2020.

Claimant alleges former financial advisor recommended unsuitable investments.

Broker Lisa Waterman in Osaic Wealth, INC. Firm Has Customer Complaint

March 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Waterman (Waterman), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waterman 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 $500,000.00 on September 17, 2020.

Claimant alleges that the trust account was over concentrated in alternative investments

There are Recent Customer Complaints with Broker Peter Maris in Firm Osaic Wealth, INC.

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Maris (Maris), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Maris 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 $750,000.00 on September 23, 2020.

Customers allege universal life insurance policy and variable annuities purchased beginning in 1999 were unsuitable.