Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Douglas (Douglas), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Douglas 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 $42,000.00 on August 15, 2024.
Per the Equitable Advisors LLC filing, customer alleges unsuitability and inadequate disclosure about risks with respect to a REIT purchased in 2014.
