Osaic Wealth

There are Recent Customer Complaints with Broker Jennifer Scroggins in Firm Osaic Wealth, INC.

April 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Scroggins (Scroggins), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Scroggins 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 $5,000.00 on March 06, 2025.

Client alleges that variable annuity was misrepresented at the time of purchase.

There are Recent Customer Complaints with Broker Marat Likhtenstein in Firm Osaic Wealth, Inc.

April 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on August 05, 2024.

Without admitting or denying the findings, Likhtenstein consented to the sanction and to the entry of findings that he refused to provide documents and information and to appear for on-the-record testimony requested by FINRA in connection to to its investigation of comments made on a Form U5 filing by his member firm. The findings stated that Likhtenstein was discharged because he failed to disclose personal loan transactions with a client.

Broker Nancy Biddle in Osaic Wealth, Inc. Firm Has Customer Complaint

April 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Biddle (Biddle), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Biddle 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 August 08, 2024.

Client alleges unsuitable recommendation and sale of alternative investments without informed consent.

There are Recent Customer Complaints with Broker Howard Douglas in Firm Osaic Wealth, Inc.

April 6, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Francis Cockrell in Firm Osaic Wealth, Inc.

April 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Cockrell (Cockrell), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Cockrell 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 $50,000.00 on August 30, 2024.

Claimant alleges their representative recommended an unsuitable oil and gas program

Broker Brett Straub in Osaic Wealth, Inc. Firm Has Customer Complaint

April 2, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Kirk O’brien in Firm Osaic Wealth, Inc.

April 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kirk O’brien (O’brien), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that O’brien 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 $45,000.00 on August 30, 2024.

Claimant alleges their representative recommended an unsuitable Oil and Gas program.

Broker Jared Tims in Osaic Wealth, Inc. Firm Has Customer Complaint

April 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jared Tims (Tims), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Tims 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 $50,000.00 on August 30, 2024.

Claimant alleges their representative recommended an unsuitable oil and gas program.

There are Recent Customer Complaints with Broker Briggs Matsko in Firm Osaic Wealth, Inc.

April 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Briggs Matsko (Matsko), currently associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Matsko 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 $50,000.00 on August 30, 2024.

Claimant alleges their representative recommended an unsuitable oil and gas program

Broker Mary beth Spuhler in Osaic Wealth, Inc. Firm Has Customer Complaint

March 26, 2025 | by Staff Attorney

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 regulatory, 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.