Articles Tagged with Osaic Wealth

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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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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.

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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.

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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.

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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.

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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.

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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.

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