Articles Tagged with Osaic Wealth

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Diana Leon (Leon), currently employed by Osaic Wealth, INC. has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), Leon’s most recent customer complaint alleges that Leon recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint on January 13, 2026.

The customer, by her counsel, alleges that a structured note recommended by the representative was not in keeping with the client’s needs and objectives, and/or that the investment was not fully explained to the client.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scot Regner (Regner), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Regner 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 $181,161.16 on February 05, 2026.

Customer reported fraudulent withdrawals from two accounts without her knowledge or notification

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Stout (Stout), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stout 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 $100,000.00 on February 10, 2026.

Client alleges financial professional failed to follow instructions and placed unauthorized trades in a discretionary account.

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

FINRA BrokerCheck shows a settled customer complaint on August 31, 2020.

Claimant alleges former financial advisor recommended unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Waterman (Waterman), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waterman 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 $500,000.00 on September 17, 2020.

Claimant alleges that the trust account was over concentrated in alternative investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Maris (Maris), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Maris 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 $750,000.00 on September 23, 2020.

Customers allege universal life insurance policy and variable annuities purchased beginning in 1999 were unsuitable.

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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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