Osaic Wealth

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

July 29, 2025 | by Staff Attorney

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.

Broker Randy Chin in Osaic Wealth, INC. Firm Has Customer Complaint

July 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Chin (Chin), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chin 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 30, 2025.

Client alleges unapproved trading in 2022

There are Recent Customer Complaints with Broker Jonna Keller in Firm Osaic Wealth, INC.

July 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonna Keller (Keller), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Keller 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 May 19, 2025.

Trustee alleges that a REIT purchase was misrepresented.

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

July 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hancock (Hancock), currently 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.

Broker Timothy Judson in Osaic Wealth, INC. Firm Has Customer Complaint

July 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Judson (Judson), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Judson 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 21, 2023.

The claimants allege that recommendations of two products out of many investment recommendations were not in keeping with their investment needs and objectives.

There are Recent Customer Complaints with Broker Chad Kennedy in Firm Osaic Wealth, INC.

July 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Kennedy (Kennedy), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kennedy 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 19, 2023.

Client alleges financial professional failed to disclose material information related to annuity purchase.

Broker David Thiele in Osaic Wealth, INC. Firm Has Customer Complaint

July 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Thiele (Thiele), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Thiele 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 $325,000.00 on October 24, 2023.

Claimant alleges unsuitable recommendation and sale of alternative investment.

There are Recent Customer Complaints with Broker Brian Stern in Firm Osaic Wealth, INC.

July 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Stern (Stern), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stern 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 $845,000.00 on November 03, 2023.

Per Transamerica Financial Advisors, Inc.’s U5 Filing, client’s estate alleges that rep advised client to surrender her husband’s annuity after his death and subsequently sold her products that were unsuitable for her.

Broker Norman Coates in Osaic Wealth, INC. Firm Has Customer Complaint

June 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Norman Coates (Coates), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Coates 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 $125,000.00 on November 09, 2023.

Claimant alleges that during the time period 2016 to 2021, representative made unsuitable investment recommendations.

There are Recent Customer Complaints with Broker John Reidy in Firm Osaic Wealth, INC.

June 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Reidy (Reidy), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Reidy 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 $150,000.00 on November 10, 2023.

Claimant alleges that the representative recommended alternative investments that were unsuitable. Allegations include negligence and breach of fiduciary duty.