Were you the victim of Osaic Wealth, Inc. broker Joseph Spina (CRD# 5769018)? He has been registered with Osaic Wealth, Inc. in Bedminster, New Jersey, since 2023. He was registered with Sagepoint Financial, Inc. in Bedminster, New Jersey, from 2011 to 2023.
Joseph Spina Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
October 2024. “Clients allege that equities were purchased and sold against their objectives and risk tolerance.” The customer is seeking $750,000 in damages, and the case is currently pending. The complaint was regarding common and preferred stock losses, and it took place while he was registered with Osaic Wealth, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Osaic Wealth, Inc. may be liable for investment or other losses suffered by Joseph Spina’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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