Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Finnegan (Finnegan), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Finnegan 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 $50,000.00 on September 09, 2020.
Claimant alleges breach of fiduciary duty and negligent supervision