Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brett Straub (Straub), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Straub 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 $300,000.00 on August 29, 2024.
Per Principal Securities, Inc Filing, the claimant alleges unsuitable investment recommendations and misrepresentations relating to the recommendation of a suspense investment account.
