Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Steves (Steves), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Steves 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 July 15, 2020.
Claimant alleges that Mr. Steve’s failed to move one hundred percent of his portfolio to cash.