Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sergio Kindler (Kindler), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kindler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on July 30, 2025.
THE CLAIMANT ALLEGES THAT THE RECOMMENDATION OF A MUNICIPAL BOND FUND WAS NOT IN KEEPING WITH HER INVESTMENT NEEDS AND OBJECTIVES, AND THAT FULL DISCLOSURE WAS NOT MADE REGARDING THE RISKS ASSOCIATED WITH THE INVESTMENT.