Haselkorn & Thibaut has initiated an investigation into Elizabeth Ann Valenti, an investment advisor registered with Osaic Wealth, Inc., located in San Antonio, TX. Investors seeking clarity about their experiences or potential losses should take note of the following research summary. With over 50 years of experience, a 98% success rate, and millions recovered for clients, Haselkorn & Thibaut (investmentfraudlawyers.com) stands ready to provide a free and confidential case review at 1 888-885-7162.
Who Is Elizabeth Ann Valenti?
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Elizabeth Ann Valenti (CRD# 5346551) is a registered stockbroker and investment advisor, currently employed by Osaic Wealth, Inc. in San Antonio, Texas. Her industry background includes:
- Previously registered with Signator Investors, Inc. (2007–2018)
- Affiliated with Platinum Wealth Solutions of Texas, LLC for fixed insurance sales
- Registered with RFG Advisory (2018–2021) and Avantax Advisory Services, Inc. (before Osaic Wealth)
- Holds Series 6, 7, 63, and 66 securities registrations and applicable insurance licenses
Investors can review her public regulatory records through FINRA BrokerCheck.
Red Flags & Reported Issues: What Investors Should Know
In November 2025, a customer complaint was filed with her current brokerage, Osaic Wealth, Inc.. Here are the specifics currently available:
Recent Reported Complaint
- Date Filed: November 2025
- Allegations:
- Unauthorized trading of an equity position
- Misrepresentation involving a variable universal life (VUL) insurance policy
- Claimed Damages: Not yet specified
As of the most current records, there are no other customer complaints, regulatory actions, arbitration awards, civil actions, criminal disclosures, or bankruptcy filings against Elizabeth Ann Valenti.
What Is Unauthorized Trading?
Unauthorized trading occurs when a financial advisor or broker executes transactions in a client account without the client’s explicit prior approval. This may violate FINRA Rule 3260, which requires written discretionary authority before trading for customers. If unauthorized activity is proven, clients may be eligible for restitution through FINRA arbitration.
Common Misconduct Allegations
| Allegation | Description | Relevant Rule |
|---|---|---|
| Unauthorized Trading | Trading without prior customer authorization. | FINRA Rule 3260 |
| Misrepresentation | Misstating or omitting material facts about an investment, such as risk factors, costs, or suitability. | FINRA Rule 2111, SEC Regulation Best Interest |
| Breach of Fiduciary Duty | Failing to act in a client’s best interests as required by regulatory obligations. | SEC Regulation Best Interest |
Summary of Complaints and Investigations
- Stockbroker / Financial Advisor: Elizabeth Ann Valenti
- Broker-Dealer: Osaic Wealth, Inc.
- Latest Complaint: Unauthorized trading and misrepresentation (Nov 2025, damages not yet specified)
- Other Disclosure Events: No criminal, regulatory, civil, or additional customer complaints on record.
How to Respond If You’ve Been Affected
If you are an investor who has worked with Elizabeth Ann Valenti in San Antonio, TX, and have concerns about unauthorized trading, misrepresentation, or unsuitable investment recommendations, you are not alone. It is critical to seek an independent review of your account and get clear, actionable guidance on your potential options for recovery.
FINRA arbitration is the primary forum for resolving disputes involving brokerage accounts and investment losses. This process is designed to be accessible for harmed investors and generally leads to a final, binding decision.
Why Work with Haselkorn & Thibaut?
- National reputation and over 50 years of combined legal experience
- 98% success rate
- No recovery, no fee—clients pay nothing unless funds are recovered
- Millions recovered for investors
- Free and confidential case reviews—call 1 888-885-7162 today
What You Can Do Next
- Review your account statements for unauthorized or suspicious transactions
- Document correspondence and notes about investment discussions
- Contact Haselkorn & Thibaut at 1 888-885-7162 for a complimentary consultation
- Take early action—time limits may apply to your claim
Concerned about losses or misconduct related to Elizabeth Ann Valenti or Osaic Wealth, Inc.? The team at Haselkorn & Thibaut specializes in fighting for investors. Schedule your free, confidential case review now and let experienced securities attorneys evaluate your claim and outline your best path to possible recovery.
Don’t wait—help is just a phone call away.
