Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Xavier Felipe (Felipe), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Felipe 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 $93,531.23 on March 12, 2020.
Claimant alleges unsuitable investments, breach of fiduciary duty, violation of FINRA Rule 2090, and violation of FINRA Rule 2010.