Articles Tagged with Betsy Whipple

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Betsy Whipple (Whipple), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Whipple 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 $100,000.00 on January 10, 2025.

Per Newbridge Securities Corp filing, breach of contract, violation of state securities statutes, breach of fiduciary duty, negligence and vicarious liability.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Betsy Whipple (Whipple), currently associated with Osaic Wealth, Inc., has at least 6 disclosable events. These events include 6 customer complaints, alleging that Whipple recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 06, 2024.

As per newbridge securities corporation, breach of fiduciary duty, negligence and negligent misrepresentation, breach of contract, failure to supervise, negligence – violation of regulation best interest.