Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Davis (Davis), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 February 17, 2021.
Customer alleges that representative provided poor advice on exchange of life insurance resulting in negative tax consequences for customer.