Articles Tagged with Osaic Wealth

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Stanley (Stanley), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stanley 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 $165,466.00 on November 15, 2023.

Clients allege they were induced to surrender a variable annuity and invest the proceeds thereof in a managed account against their best interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Yvars (Yvars), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Yvars 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 $104,624.00 on November 20, 2023.

Clients allege that certain mutual fund recommendations were not in keeping with their investment needs and objectives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason La Vigne (La Vigne), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that La Vigne 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 $203,000.00 on November 20, 2023.

The Claimants allege that the financial professional sold them alternative investments that were unsuitable.

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

Claimant alleges misrepresentation and unsuitable recommendations with regard to the sale of an alternative investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter 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 settled customer complaint with a damage request of $68,000.00 on November 21, 2023.

Claimant alleges misrepresentation and unsuitable recommendations with regard to the sale of an alternative investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Glovna (Glovna), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Glovna recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on November 24, 2023.

The client alleges a loss of accrued interest on CDs purchased in the managed asset account in May 2023.

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

Claimant alleges misrepresentation and unsuitable recommendations with regard to the sale of an alternative investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tasha Coleman (Coleman), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Coleman 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 $7,914.00 on November 29, 2023.

Customers allege that the terms of the certificates of deposit were misrepresented.

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

FINRA BrokerCheck shows a pending customer complaint on February 28, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk O’brien (O’brien), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that O’brien 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 $45,000.00 on August 30, 2024.

Claimant alleges their representative recommended an unsuitable Oil and Gas program.

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New York, NY 10017
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#100
Chicago, IL 60613
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#1
Montclair, NJ 07042
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