Articles Tagged with Osaic Wealth

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Springberg (Springberg), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Springberg 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 $31,026.00 on October 04, 2022.

Claim alleges representative failed to act as instructed and contrary to client interest by investing trust funds in unsuitable investments given risk tolerance and timeframe.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Chernoff (Chernoff), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chernoff 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 $90,000.00 on September 22, 2022.

Claimants allege conversion and negligence with regard to the transfer and release of assets in a family trust account after the death of trustees.

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Currently financial advisor Stephen Mattocks (Mattocks), 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 pending customer complaint with a damage request of $118,679.00 on June 10, 2025.

Customers alleges that 2019 recommendations to purchase various REITs were unsuitable and constituted poor advice.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Meyers (Meyers), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Meyers 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 $100,000.01 on June 10, 2025.

Claimant alleges representative recommended unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Cox (Cox), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cox 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 November 28, 2023.

The Claimant alleges that the financial professtional sold him an alternative investment that was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Dailey (Dailey), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dailey 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 $120,000.00 on May 14, 2024.

Customers allege financial professional made a poor recommendation to sell a variable annuity in 2024 because it generated an unanticipated tax liability.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Cahill (Cahill), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cahill 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 10, 2025.

Client alleges tax consequences as a result of a poor recommendation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Cason (Cason), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cason 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 $150,000.00 on April 18, 2025.

Claimant alleges that the recommendation of certain shares of illiquid preferred stock was not in keeping with her needs and objectives, and that the features and risks of the investment were not properly disclosed to her.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Cahill (Cahill), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cahill 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 10, 2025.

Client alleges tax consequences as a result of a poor recommendation.

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