Articles Tagged with Osaic Wealth

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Slepcevich (Slepcevich), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Slepcevich 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 03, 2020.

Allegations of unsuitable investment recommendation related to a business development company

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Barber (Barber), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Barber 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 $130,000.00 on October 30, 2020.

Client alleges investments made in 2013 were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Katherine Markowski (Markowski), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Markowski 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 $44,000.00 on November 06, 2020.

Customer alleges the representative made a recommendation that did not meet the clients’ needs and allegedly caused losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Prestage (Prestage), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Prestage 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 $70,000.00 on January 26, 2021.

Claimant alleges recommendations of alternative investments were not suitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Davis (Davis), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 February 17, 2021.

Customer alleges that representative provided poor advice on exchange of life insurance resulting in negative tax consequences for customer.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Dougherty (Dougherty), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dougherty 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 March 29, 2021.

Claimants allege the financial professional recommended investments that were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Bremer (Bremer), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bremer 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 March 29, 2021.

Client alleges that an unauthorized transaction resulted in a loss of approximately $40,000.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Fleming (Fleming), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fleming recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 05, 2021.

According to Hornor Townsend Kent\\u00e2? ?s disclosure, the client alleged that certain REIT investments recommended to them were not suitable, and resulted in losses.

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

FINRA BrokerCheck shows a settled customer complaint on April 20, 2021.

Claimants allege that the registered representatives recommended inappropriate investments and strategies that caused damage to Claimants\\u00e2?? Estate.

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Currently financial advisor Dawn Strachan (Strachan), 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 $999,999.00 on April 29, 2021.

Clients allege 2015 Private Placement and Real Estate Investment Trusts (REITs) purchases were unsuitable.

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