Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Shaw (Shaw), currently associated with Osaic Wealth, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Shaw 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 $25,000.00 on October 28, 2024.
Claimant alleges their RR recommended an unsuitable Oil and Gas investment
