Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tinh Vu (Vu), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vu recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $176,200.00 on July 05, 2024.
It is alleged that unsuitable investment recommendations were made in purported violation of legal and regulatory duties.