John Mann, a broker and investment advisor with Oppenheimer & Co. Inc. (CRD 249) in California, is facing allegations of failing to follow a client’s instructions to close out an options position. The client claims that the position was opened on January 27, 2023, and closed on February 6, 2024, resulting in significant losses. The […]

Steven Baaden, a registered broker and investment advisor with Oppenheimer & Co. Inc. (CRD 249) in Texas, is facing allegations of unsuitable inactivity and ignoring client emails and instructions. The alleged misconduct occurred between February 21, 2023, and February 14, 2024, according to the customer dispute filed on February 14, 2024. The client’s claim was

Lucille Cueller, a broker and investment advisor at Osaic Wealth, Inc. (CRD 23131) in Illinois, is currently facing a pending customer dispute filed on February 14, 2024. The client alleges that the alternative investment recommendations made by Cueller were unsuitable at the time of purchase. The investments in question involve Direct Participation Programs (DPPs) and