Dec 14, 2024

Mary Beth Spuhler Formerly With Osaic Wealth, Inc. FIRED

DID MARY BETH FISHER SPUHLER CAUSE YOU INVESTMENT LOSSES? Mary Beth Spuhler Formerly With Osaic Wealth, Inc. was terminated on September 6, 2024, for engaging in personal transactions with clients without prior approval from the broker-dealer. Mary Beth Spuhler Employment History and Termination Disclosures Mary Beth Spuhler Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Mary Beth Spuhler is a red flag which should put all current and former customers of Mary Beth Spuhler at with Osaic Wealth, Inc. on alert to review carefully the activity and performance of their accounts and question whether Mary Beth Spuhler 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 561-338-0037. File A Claim To Recover Your Investment Losses At with Osaic Wealth, Inc. Due To Mary Beth Spuhler If you have questions about Osaic Wealth, Inc. and/or Mary Beth Spuhler 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 29, 2024

Marat Likhtenstein of Osaic Wealth, Inc.  FIRED

DID MARAT LIKHTENSTEIN CAUSE YOU INVESTMENT LOSSES? Marat Likhtenstein Formerly With Osaic Wealth, Inc.  was terminated on June 7, 2024, for failing to disclose personal loan transactions with a client Marat Likhtenstein Employment History and Termination Marat Likhtenstein has over two decades of experience in the securities industry, having worked for firms such as Osaic Wealth, Inc., (2018-2024), Signator Investors, Inc., (2001-2018) and Park Avenue Securities LLC. (1999-2001) He passed two general industry/product exams and two multi-state securities law exams and held registrations across multiple firms, mostly in New York. He was terminated by Osaic Wealth, Inc. on June 7, 2024, due to a failure to disclose personal loan transactions with a client. Subsequently, on August 5, 2024, he was permanently barred by FINRA after he refused to cooperate with their investigation, provide requested documents and information and failed to appear for testimony. Disclosure Events: Allegation: Terminated for failure to disclose personal loan transactions with a client. Regulatory Action Date: August 5, 2024 Regulator: FINRA Allegation: Likhtenstein failed to provide documents and appear for testimony as requested by FINRA, related to a disclosure on a Form U5 filing by Osaic Wealth, Inc., stating that he did not disclose personal loans with a client. Resolution: Permanent bar of all capacities. Termination Date: June 7, 2024 Firm: Osaic Wealth, Inc. Marat Likhtenstein Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Marat Likhtenstein is a red flag which should put all current and former customers of Marat Likhtenstein at Osaic Wealth, Inc. on alert to review carefully the activity and performance of their accounts and question whether Marat Likhtenstein 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 561-338-0037. File A Claim To Recover Your Investment Losses At Osaic Wealth, Inc.  Due To Marat Likhtenstein If you have questions about Osaic Wealth, Inc.and/or Marat Likhtenstein 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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Jul 30, 2024

Karen Emma of Osaic Wealth, Inc. Reviews

DID KAREN MARIE EMMA CAUSE YOU INVESTMENT LOSSES? Karen Emma Of Osaic Wealth, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Karen Emma Customer Complaints and Reviews Karen Marie Emma’s report lists three customer disputes: Allegations Against Karen Emma Karen Emma Red Flags & Your Rights As An Investor Of course, Karen Emma 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 Karen Emma at Osaic Wealth, Inc on alert to review carefully the activity and performance of their accounts and question whether Karen Emma 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 561-338-0037. File A Claim To Recover Your Investment Losses At Osaic Wealth, Inc. Due To Karen Emma If you have questions about Osaic Wealth, Inc. and/or Karen Emma 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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Jun 18, 2024

Marc Minor of Osaic Wealth, Inc. Reviews

DID MARC GREGORY MINOR CAUSE YOU INVESTMENT LOSSES? Marc Minor Of Osaic Wealth, Inc. And Formerly With Woodbury Financial Services, Inc. Has 5 Customer Complaints For Alleged Broker Misconduct Marc Minor Customer Complaints and Reviews Marc Gregory Minor’s record includes five customer disputes: Allegations Against Marc Minor Marc Minor Red Flags & Your Rights As An Investor Of course, Marc Minor 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 Marc Minor at Osaic Wealth, Inc. and Woodbury Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Marc Minor has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic Wealth, Inc. and Woodbury Financial Services, 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 561-338-0037. File A Claim To Recover Your Investment Losses At Osaic Wealth, Inc. Due To Marc Minor  If you have questions about Osaic Wealth, Inc., Woodbury Financial Services, Inc. and/or Marc Minor 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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Jun 17, 2024

James McDermott of Osaic Wealth, Inc

DID JAMES DANIEL MCDERMOTT CAUSE YOU INVESTMENT LOSSES? James McDermott Of Osaic Wealth, Inc. And Formerly With Raymond James & Associates, Inc. Has A Customer Complaint For Alleged Broker Misconduct James McDermott Customer Complaint and Reviews James McDermott’s professional history includes significant negative disclosures: Allegations Against James McDermott These allegations paint a picture of a broker who may have engaged in questionable financial practices. James McDermott Red Flags & Your Rights As An Investor Of course, James McDermott 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 James McDermott at Osaic Wealth, Inc. and Raymond James & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether James McDermott has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic Wealth, Inc. and Raymond James & Associates, 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 561-338-0037. File A Claim To Recover Your Investment Losses At Osaic Wealth, Inc. Due To James McDermott  If you have questions about Osaic Wealth, Inc., Raymond James & Associates, Inc. and/or James McDermott 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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May 9, 2024

Mark Mappa of Osaic Wealth, Inc

DID MARK ALAN MAPPA CAUSE YOU INVESTMENT LOSSES? Mark Mappa Of Osaic Wealth, Inc. And Formerly With Woodbury Financial Services, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Mark Mappa Customer Complaints Mark Mappa has been the subject of 3 customer complaints that we know about seeking to recover investment losses.  Kestra Investment Services settled all 3 customer complaints that involved in the FINRA arbitration proceedings for Mark Mappa’s alleged misconduct in favor of the investors. Allegations Against Damon Mapes A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Mark Mappa Red Flags & Your Rights As An Investor Of course, Mark Mappa 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 Mark Mappa at Osaic Wealth, Inc. and Woodbury Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Mappa has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic Wealth, Inc. and Woodbury Financial Services, 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 561-338-0037. File A Claim To Recover Your Investment Losses At Osaic Wealth, Inc. Due To Mark Mappa  If you have questions about Osaic Wealth, Inc., Woodbury Financial Services, Inc. and/or Mark Mappa 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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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 561-338-0037. 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 561-338-0037. 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 561-338-0037. 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 561-338-0037. 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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