Osaic Wealth

Broker James Vandy in Osaic Wealth, INC. Firm Has Customer Complaint

October 5, 2025 | by Staff Attorney

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

Client alleges the financial professional failed to disclose material information related to an annuity purchase.

Broker Nicholas Bliss in Osaic Wealth, INC. Firm Has Customer Complaint

September 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Bliss (Bliss), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bliss 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 $20,000.00 on December 05, 2022.

Customer alleges that an unauthorized purchase resulted in losses.

Broker Matthew Boehm in Osaic Wealth, INC. Firm Has Customer Complaint

September 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Boehm (Boehm), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Boehm 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 January 31, 2023.

According to Lion Street Financial’s filing, Claimant is alleging misrepresentation and failure to supervise the suitability of GWG L-bonds. She purchased $50,000 from her ex-husband, a former registered representative of Lion Street Financial. GWG is currently under review from the SEC. Claimant is seeking $50,000 plus attorney’s fees in damages. Arbitration filed in August 2022. LSF filed to implead the advisor and is looking to settle this matter.

There are Recent Customer Complaints with Broker Jason Wright in Firm Osaic Wealth, INC.

September 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Wright (Wright), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wright 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 $10,316.37 on February 17, 2023.

Client alleges that purchases of mutual funds were unauthorized and unsuitable.

There are Recent Customer Complaints with Broker Anna Marie Stotka in Firm Osaic Wealth, INC.

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anna Marie Stotka (Stotka), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stotka 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 February 23, 2023.

Claimant alleges the representative recommended an unsuitable Oil & Gas investment.

There are Recent Customer Complaints with Broker Bernard Bostwick in Firm Osaic Wealth, INC.

September 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 01, 2023.

Claimant alleges the RR breached fiduciary duty by failing to recognize and stop claimant from being a victim of wire fraud.

Broker J Coghlan in Osaic Wealth, INC. Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

Currently financial advisor J Coghlan (Coghlan), currently employed by brokerage firm Osaic Wealth, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on March 02, 2023.

The Claimant alleges that a recommendation to invest in a certain non-traded REIT investment was not in keeping with his investment objectives, and that full disclosures regarding the investment were not made.

Broker Paul Mauro in Osaic Wealth, INC. Firm Has Customer Complaint

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Mauro (Mauro), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mauro 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 16, 2023.

Client alleges that variable and fixed index annuities purchased in May – June 2022 were misrepresented and unsuitable.

There are Recent Customer Complaints with Broker Michael Gustafson in Firm Osaic Wealth, INC.

September 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Gustafson (Gustafson), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gustafson 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 $120,000.00 on March 21, 2023.

Claimant alleges unsuitable recommendations related to the sale of alternative investments.

There are Recent Customer Complaints with Broker Joseph Altobelli in Firm Osaic Wealth, INC.

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Altobelli (Altobelli), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Altobelli 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 April 11, 2023.

Claimant’s attorneys allege that the recommendation of one non-traded business development company was not in keeping with the client’s objectives and risk tolerance, and that full disclosure was not made regarding the investment.