Osaic Wealth

Broker Ronald Martin in Osaic Wealth, INC. Firm Has Customer Complaint

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Martin (Martin), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 April 08, 2023.

Client alleges the Financial Professional misrepresented the interval fund.

There are Recent Customer Complaints with Broker Melanie St Franc in Firm Osaic Wealth, INC.

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melanie St Franc (St Franc), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that St Franc 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 April 30, 2023.

Client alleges that a 2022 variable annuity purchase was misrepresented.

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

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Brown (Brown), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $45,000.00 on April 28, 2023.

Client alleged FA took unnecessary risk with portfolio and were felt they were left with no choice but to liquidate portfolio at a time when the account was down which resulted is locking in a loss.

There are Recent Customer Complaints with Broker Frank Gusmano in Firm Osaic Wealth, INC.

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Gusmano (Gusmano), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gusmano 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 May 10, 2023.

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

There are Recent Customer Complaints with Broker Andrew Horowitz in Firm Osaic Wealth, INC.

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Horowitz (Horowitz), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Horowitz 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 May 10, 2023.

Claimants allege the advisor recommended an unsuitable Oil & Gas investment.

Broker Frank Chiodi in Osaic Wealth, INC. Firm Has Customer Complaint

August 31, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 08, 2023.

The Claimant alleges that the recommendation of one investment product did not meet with the customer’s needs and objectives, and that full disclosure regarding the investment and its features was not made.

There are Recent Customer Complaints with Broker Frederick Azzurro in Firm Osaic Wealth, INC.

August 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Azzurro (Azzurro), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Azzurro 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 June 27, 2023.

Customer alleges funds were misappropriated by representative to customer’s spouse in 2013.

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

August 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Spina (Spina), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Spina 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 $750,000.00 on October 17, 2024.

Clients allege that equities were purchased and sold against their objectives and risk tolerance.

Broker William Hancock in Osaic Wealth, INC. Firm Has Customer Complaint

August 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hancock (Hancock), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hancock 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 $180,000.00 on May 28, 2025.

Claimants allege the unsuitable recommendation and sale of variable annuities.

There are Recent Customer Complaints with Broker Alex Rosen in Firm Osaic Wealth, INC.

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 19, 2022.

The client alleges the RR misrepresented variable annuities purchased in 2021 and 2022.