Osaic Wealth

Broker James Shelby in Osaic Wealth, INC. Firm Has Customer Complaint

May 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James 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

Broker Matthew Baker in Osaic Wealth, INC. Firm Has Customer Complaint

May 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Baker (Baker), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Baker 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 May 07, 2020.

Client alleges that recommendations regarding variable annuities were unsuitable and constituted poor advice.

There are Recent Customer Complaints with Broker Dennis Rife in Firm Osaic Wealth, INC.

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Rife (Rife), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rife 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 $100,001.00 on May 19, 2020.

The claimant alleges that recommendations to purchase two investments in his ira account were not in keeping with his needs and objectives.

Broker Mark Robare in Osaic Wealth, INC. Firm Has Customer Complaint

May 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 09, 2020.

Claimants allege an unsuitable investment strategy between 2013-2015.

There are Recent Customer Complaints with Broker Fabio Battaglia in Firm Osaic Wealth, INC.

May 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fabio Battaglia (Battaglia), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Battaglia 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 $5,960.94 on June 19, 2020.

Customer alleges misrepresentation in the sale of an insurance product causing a taxable event.

Broker Christopher Calandra in Osaic Wealth, INC. Firm Has Customer Complaint

April 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Calandra (Calandra), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Calandra 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 July 17, 2020.

Unsuitable investment recommendation is alleged

There are Recent Customer Complaints with Broker Michael Mcnulty in Firm Osaic Wealth, INC.

April 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 09, 2020.

Client alleges advisor recommended unsuitable investments. Allegation Activity Dates: 2011 – 2016.

There are Recent Customer Complaints with Broker William Steves in Firm Osaic Wealth, INC.

April 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Steves (Steves), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Steves 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 July 15, 2020.

Claimant alleges that Mr. Steve’s failed to move one hundred percent of his portfolio to cash.

Broker Carmine Lopresti in Osaic Wealth, INC. Firm Has Customer Complaint

April 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carmine Lopresti (Lopresti), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopresti 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 July 17, 2020.

Claimants allege fraud, negligence, breach of fiduciary duty, and breach of contract

There are Recent Customer Complaints with Broker Michael Palumbos in Firm Osaic Wealth, INC.

April 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 26, 2020.

The clients allege the RR provided a poor recommendation in regard to surrendering four annuities in May of 2019, as the resulting tax impact was greater than expected.