Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Mccormick (Mccormick), previously associated with Osaic Wealth, Inc., has at least one disclosable event. These events include one tax lien, alleging that Mccormick recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 22, 2024.
Without admitting or denying the findings, McCormick consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with its investigation into the allegations in a complaint made to FINRA.
