Dec 14, 2024

Mary Beth Spuhler Formerly With Osaic Wealth, Inc. FIRED

Mary Beth Spuhler who was formerly registered as a broker with Osaic Wealth, Inc. and located in Camp Hill, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations. Mary Beth Fisher Spuhler has over 45 years of experience in the financial services industry. She has worked with five firms, including OSAIC Wealth, Inc. (2024), Securities America, Inc. (2017–2024), and MML Investors Services, LLC (1986–2012). Spuhler has passed three general industry exams and one multi-state securities law exam. Her professional designation includes being a Chartered Financial Consultant. Her most recent role at OSAIC Wealth, Inc. ended in termination on September 6, 2024, due to engaging in personal transactions with clients. Prior to this, she held a long-standing position at MML Investors Services, LLC, from 1986 to 2012, before being discharged on July 12, 2012, for policy violations involving client account management.

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Jul 30, 2024

Karen Emma of Osaic Wealth, Inc. Reviews

Karen Emma (CRD #4051573) , located in Cranston, Rhode Island, has an extensive background in the financial services industry, being registered with Osaic Wealth, Inc. since January 2007. Prior to her current registration, she was affiliated with Citigroup Global Markets Inc. from December 1999 to January 2007. Emma is licensed in 22 U.S. states and territories and has passed three general industry/product exams (Series 7, Series 31, Series SIE) along with two multi-state securities law exams (Series 63, Series 65). Her long-standing career and broad licensure across numerous states underline her seasoned experience in the securities industry.

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Jun 18, 2024

Marc Minor of Osaic Wealth, Inc. Reviews

Marc Minor (CRD #2230271) , located in Naples, Florida, is currently employed by Osaic Wealth, Inc., where he has been registered since January 19, 2024. Over his extensive career, Minor has been affiliated with multiple firms, including Woodbury Financial Services and Legacy Financial Services. He has significant industry experience, being licensed in all 50 U.S. states and territories. Minor has passed two general industry/product exams (Securities Industry Essentials Examination and Series 6) and two multi-state securities law exams (Series 65 and Series 63). His experience and broad registration demonstrate a substantial commitment to his role in the financial services industry.

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Jun 17, 2024

James McDermott of Osaic Wealth, Inc

James McDermott (CRD #2483480) , located in Oakbrook Terrace, Illinois, is currently registered with Osaic Wealth, Inc. He has had a varied career with multiple transitions across prominent firms. Since beginning his brokerage career in 1994, McDermott has been affiliated with several major firms, including Raymond James and Oppenheimer & Co. Although licensed in 27 U.S. states and territories and having passed three general industry/product exams along with two multi-state securities law exams, his record is marred by a customer dispute and a termination event. His failure to complete any principal/supervisory exams raises questions about his readiness for higher-level responsibilities in the industry.

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May 6, 2024

Jack Yvars of Osaic Wealth, Inc

DID JACK W YVARS CAUSE YOU INVESTMENT LOSSES? Jack Yvars Of Osaic Wealth, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Jack Yvars Customer Complaints Jack Yvars has been the subject of 2 customer complaints that we know about seeking to recover investment losses.  Both customer complaints have evolved into FINRA arbitration proceedings filed against Osaic Wealth, formerly known as Royal Alliance Associates for Jack Yvars alleged misconduct, and still pending. Allegations Against Jack Yvars A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Jack Yvars Red Flags & Your Rights As An Investor Of course, Jack Yvars did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jack Yvars at Osaic Wealth, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jack Yvars has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic Wealth, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 833-300-6983. File A Claim To Recover Your Investment Losses At Osaic Wealth, Inc., Due To Jack Yvars  If you have questions about Osaic Wealth, Inc., and/or Jack Yvars and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Apr 28, 2024

Patrick Tantoco of Osaic Wealth, Inc

DID PATRICK TANTOCO CAUSE YOU INVESTMENT LOSSES? Patrick Tantoco Of Osaic Wealth, Inc. And Formerly With MML Investors Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Patrick Tantoco Customer Complaints Patrick Tantoco has been the subject of 2 customer complaints that we know about seeking to recover investment losses.  Both customer complaints have proceeded to FINRA arbitration proceedings against Independent Financial Group for Patrick Tantoco’s alleged misconduct and are still pending. Allegations Against Louis Wargo A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Patrick Tantoco Red Flags & Your Rights As An Investor Of course, Patrick Tantoco did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Patrick Tantoco at Osaic Wealth, Inc. and MML Investors Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Patrick Tantoco has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic Wealth, Inc. and MML Investors Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 833-300-6983. File A Claim To Recover Your Investment Losses At Osaic Wealth, Inc. Due To Patrick Tantoco  If you have questions about Osaic Wealth, Inc., MML Investors Services, LLC and/or Patrick Tantoco and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 3, 2024

Joseph Haas III of Osaic Wealth, Inc

DID JOSEPH JOHN HAAS III CAUSE YOU INVESTMENT LOSSES? Joseph Haas III Of Osaic Wealth, Inc And Formerly With Signator Investors, Inc. Has A Customer Complaint For Alleged Broker Misconduct Joseph Haas III Customer Complaint Joseph Haas III has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were adviser failed to follow client’s instructions to change distribution percentages in a transfer on death account. The lawsuit filed in New Jersey is still pending against Royal Alliance Associates for Joseph Hass’ alleged misconduct. Joseph Haas III Red Flags & Your Rights As An Investor Of course, Joseph Haas III did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Joseph Haas III at Osaic Wealth, Inc and Signator Investors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Joseph Haas III has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic Wealth, Inc and Signator Investors, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 833-300-6983. File A Claim To Recover Your Investment Losses At Osaic Wealth, Inc Due To Joseph Haas III If you have questions about Osaic Wealth, Inc, Signator Investors, Inc. and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Feb 28, 2024

Lisa Jacques of Osaic Wealth, Inc

DID LISA M JACQUES CAUSE YOU INVESTMENT LOSSES? Lisa Jacques Of Osaic Wealth, Inc. And Formerly With Sagepoint Financial, Inc. Has A Customer Complaint For Alleged Broker Misconduct Lisa Jacques Customer Complaint Lisa Jacques has been the subject of at least one customer complaint that we know about seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the redemption of fixed annuities, and purchase of variable annuity contracts were misrepresented resulting in losses. The customer complaint was recently denied by Sagepoint Financial and thus far, does not appear that the investor has filed any arbitration proceedings or taken any other action. Lisa Jacques Red Flags & Your Rights As An Investor Of course, Lisa Jacques did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Lisa Jacques at Osaic Wealth, Inc. and Sagepoint Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Lisa Jacques has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic Wealth, Inc. and Sagepoint Financial, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 833-300-6983. File A Claim To Recover Your Investment Losses At Osaic Wealth, Inc. Due To Lisa Jacques If you have questions about Osaic Wealth, Inc., Sagepoint Financial, Inc. and/or Lisa Jacques and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Oct 11, 2023

Ryan Beck of Osaic Wealth, Inc.

DID RYAN ALBERT BECK CAUSE YOU INVESTMENT LOSSES? Ryan Beck Of Osaic Wealth, Inc. Has A Customer Complaint For Alleged Broker Misconduct Ryan Beck Customer Complaint Ryan Beck has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unauthorized transactions in customer’s account. Royal Alliance Associates recently died the customer complaint and, to date, the investor has not taken any further action. Ryan Beck Red Flags & Your Rights As An Investor Of course, Ryan Beck did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ryan Beck at Osaic Wealth, Inc. on alert to review carefully the activity and performance of their accounts and question whether Ryan Beck has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic Wealth, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 833-300-6983. File A Claim To Recover Your Investment Losses At Osaic Wealth, Inc. Due To Ryan Beck If you have questions about Osaic Wealth, Inc. and/or Ryan Beck and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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