Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary beth Spuhler (Spuhler), previously associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one tax lien, alleging that Spuhler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on February 21, 2025.
Without admitting or denying the findings, Spuhler consented to the sanction and to the entry of findings that she refused to provide information and documents requested by FINRA in connection with its investigation into the allegations that she engaged in personal transactions with clients without prior approval from her member firm.
