Articles Tagged with Osaic Wealth

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lee Kramer (Kramer), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kramer 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 $62,000.00 on August 04, 2020.

Allegations of unsuitable investment recommendations related to a business development company.

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Currently financial advisor Brett Jenson (Jenson), 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 settled customer complaint on August 06, 2020.

Claimant alleges RR sold unsuitable investments, including several non-traded REITs.

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $600,000.00 on December 07, 2020.

Lunin-Pack was a subject of the customers’ complaint against his member firm that asserted the following causes of action: unsuitability; breach of fiduciary duty; negligence; negligent misrepresentation; intentional misrepresentation; negligent supervision, hiring and retention; and breach of contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paz Chandra (Chandra), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chandra 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 31, 2020.

CUSTOMER ALLEGES UNSUITABLE ALTERNATIVE INVESTMENT RECOMMENDATION. ACTIVITY PERIOD: 1/2015\<char_lb_r>\, TO 12/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brad Small (Small), previously associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Small 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 $24,750.00 on January 04, 2021.

Claimants allege breach of contract and unjust enrichment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric 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 award / judgment customer complaint with a damage request of $54,567.96 on January 12, 2021.

Johnson was a subject of the customer\\u2019s complaint against his member firm that asserted the following causes of action: breach of contract and warranties; promissory estoppel; violation of state securities statutes; breach of fiduciary duty; negligence and gross negligence; misrepresentation/omission & negligent misrepresentation/omission; unjust enrichment; failure to supervise; common law and statutory claims and damages; and vicarious & control person liability.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Lane (Lane), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lane 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 January 21, 2021.

Claimants allege breach of fiduciary duty, violation of FINRA Rules, breach of contract and negligence.

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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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