Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Dailey (Dailey), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dailey 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 $120,000.00 on May 14, 2024.
Customers allege financial professional made a poor recommendation to sell a variable annuity in 2024 because it generated an unanticipated tax liability.