Articles Tagged with Osaic Wealth

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Caplis (Caplis), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Caplis 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 $200,000.00 on April 06, 2026.

Client Alleges they were misled regarding the sale of Spring Hills as the distributions have temporarily stopped and that the product was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Bryant (Bryant), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bryant 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 $5,000,000.00 on April 09, 2026.

Customers allege financial professional mismanaged portfolio causing a substantial reduction in its value. Customer further alleges that financial professional failed to follow trading instructions, charged excessive advisory fees, and made poor recommendations in various products, including collateralized non-purpose loans and treasuries.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tara Clark (Clark), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 15, 2026.

Customer alleges financial professional failed to follow instructions to purchase an ETF in 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Beau Sheedy (Sheedy), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sheedy 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 $18,484.18 on November 30, 2020.

Client alleges RR misrepresented an unsuitable variable annuity in 2019.

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

It is alleged that several non-traded alternative products were inappropriately recommended and sold.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Ahrenholz (Ahrenholz), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ahrenholz 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 December 23, 2020.

Claimant alleges unsuitability in investment of alternative investment which caused financial harm. The allegations include negligence, professional negligence, violations of law, unsuitable recommendations, breach of contract, breach of fiduciary duty and breach of securities industry rules and regulations.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Kyle Jobin (Jobin) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Jobin was employed by Osaic Wealth, INC. at the time of the activity.  If you have been a victim of Jobin’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on December 23, 2020.

The Wisconsin Office of the Commissioner of Insurance (‘OCI’) denied Mr. Jobin’s application for permanent individual intermediary agent’s insurance license based on Mr. Jobin’s ‘Yes’ answer to the question ‘Are you currently a party to, or have you ever been found liable in, any lawsuit, arbitrations, or mediation proceeding involving allegations of fraud, misappropriation or conversion of funds, misrepresentation or breach of fiduciary duty?’

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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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