Articles Tagged with Osaic Wealth

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Zlotnick (Zlotnick), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Zlotnick 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 March 16, 2026.

Claimants allege the FP recommended unsuitable alternative investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Kroehle (Kroehle), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kroehle 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 April 02, 2026.

Claimants allege the FP recommended unsuitable alternative investments.

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

FINRA BrokerCheck shows a settled customer complaint on April 15, 2020.

CLAIMANTS ALLEGE THEIR ACCOUNTS WERE OVERCONCENTRATED IN REIT’s AND ALTERNATIVE INVESTMENTS.

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

FINRA BrokerCheck shows a settled customer complaint on April 15, 2020.

CLAIMANTS ALLEGE THEIR ACCOUNTS WERE OVERCONCENTRATED IN  REIT’s AND ALTERNATIVE INVESTMENTS

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Baker (Baker), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Baker 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 May 07, 2020.

Client alleges that recommendations regarding variable annuities were unsuitable and constituted poor advice.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Rife (Rife), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rife 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 $100,001.00 on May 19, 2020.

The claimant alleges that recommendations to purchase two investments in his ira account were not in keeping with his needs and objectives.

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

FINRA BrokerCheck shows a settled customer complaint on June 09, 2020.

Claimants allege an unsuitable investment strategy between 2013-2015.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fabio Battaglia (Battaglia), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Battaglia 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 $5,960.94 on June 19, 2020.

Customer alleges misrepresentation in the sale of an insurance product causing a taxable event.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Calandra (Calandra), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Calandra 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 $40,000.00 on July 17, 2020.

Unsuitable investment recommendation is alleged

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

FINRA BrokerCheck shows a settled customer complaint on July 09, 2020.

Client alleges advisor recommended unsuitable investments. Allegation Activity Dates: 2011 – 2016.

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