Securities Lawyers Blog
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.