Haselkorn & Thibaut Launches Independent Investigation into Marat Likhtenstein – Osaic Wealth, Brooklyn, NY
Are you an investor who worked with Marat Likhtenstein (CRD# 2470480), formerly of Osaic Wealth in Brooklyn, New York? Haselkorn & Thibaut, a national law firm with over 50 years of experience and a 98% success rate, has opened an independent review into recent allegations and investor complaints connected to Marat Likhtenstein’s advisory activities. Our team is committed to helping clients nationwide recover funds lost to potential investment fraud, and there is no fee unless we recover money for you.
Summary of Recent Allegations and Regulatory Actions
Recent public records and disclosures indicate that Marat Likhtenstein, who has an extensive 19-year history in the securities arena, is facing serious allegations from federal regulators.
- Regulatory Charges: In September, the Securities and Exchange Commission (SEC) filed charges against Mr. Likhtenstein, alleging that he was the architect of an offering fraud scheme.
- Nature of the Scheme: According to SEC documentation, Marat Likhtenstein is accused of raising over $4.1 million from at least 15 clients, primarily targeting the Russian-American Jewish community, particularly elderly investors.
- Misuse of Investor Funds: Instead of investing as promised, it is alleged Mr. Likhtenstein misappropriated the funds for his own personal use and to pay other investors, in a Ponzi-like manner.
- Promissory Notes Sales: The SEC states that Mr. Likhtenstein solicited investors to purchase self-issued promissory notes, promising highly lucrative returns through business opportunities that were not substantiated.
- Settlement with SEC: Mr. Likhtenstein consented to a bifurcated settlement with injunctive and monetary relief, without admitting or denying the allegations.
Investor Complaints: Specifics and Amounts Claimed
A comprehensive review of Mr. Likhtenstein’s Investment Adviser Public Disclosure report reveals several client complaints that are essential for all current and former investors to know.
| Date Filed | Number of Complaints | Allegations | Total Damages Sought | Status |
|---|---|---|---|---|
| 2025 | 5 | Misappropriation of investor funds while registered with Osaic Wealth | $2.4 Million | Pending |
Investors have alleged losses surpassing $2.4 million related to the advisory services and investment recommendations made by Mr. Likhtenstein during his tenure at Osaic Wealth.
Key Red Flags for Investors of Marat Likhtenstein (Osaic Wealth, Brooklyn, NY)
- Unusually High Returns Promised: Promising “extraordinary” interest rates or returns should always be a warning sign—if it sounds too good to be true, it often is.
- Sale of Self-Issued Promissory Notes: Whenever an advisor recommends the purchase of promissory notes – especially those they personally issue – extra caution is needed.
- “Side Business” Investment Opportunities: Soliciting investments outside the umbrella of the advisor’s registered firm or broker-dealer is a significant red flag.
- Funds Not Invested as Promised: The SEC describes funds being diverted for personal use rather than into the claimed business deals.
Disclosure Gaps in Public Databases
It is important to highlight that, as of the most recent search, there are currently no regulatory complaints, lawsuits, SEC enforcement actions, or customer disclosures visible on Marat Likhtenstein’s BrokerCheck profile. This includes:
- No customer complaints reported
- No employment termination for cause
- No bankruptcy filings or tax liens
- No regulatory or civil proceedings listed
For those interested, the BrokerCheck resource can be consulted for the most up-to-date public record on financial professionals.
However, the contrast between these public records and recent SEC litigation and investor complaints underscores that relying solely on BrokerCheck or similar databases may not provide a complete picture. Regulatory and legal developments can take time to appear in publicly available sources.
Background Summary: Marat Likhtenstein, Osaic Wealth
- CRD Number: 2470480
- Most Recent Firm: Osaic Wealth (2018-2024), Brooklyn, NY
- Past Registration: Signator Investors (2004-2018), Brooklyn, NY
- Industry Experience: 19 years
- Examinations Passed: Series 66 (Uniform Combined State Law Exam)
- Current Status: Not currently licensed as an investment advisor (as of February 2026)
If You Were a Client: What Should You Do Next?
If you or a loved one invested with Marat Likhtenstein at Osaic Wealth and experienced unexpected losses, you may have legal options to recover those funds. Given the documented regulatory actions and investor complaints, taking prompt, informed action can be critical.
Free Review & Next Steps from Haselkorn & Thibaut
Haselkorn & Thibaut’s team of experienced investor attorneys offers free and confidential consultations to individuals nationwide who may have suffered losses with Marat Likhtenstein or other representatives of Osaic Wealth. There is no cost unless we recover for you.
Why Choose Haselkorn & Thibaut?
- National law firm focused solely on investor protection
- 50+ years combined experience
- Millions recovered for clients
- 98% success rate
- No recovery, no fee
Contact Our Team for a Free Review
If you believe you may have been impacted, or simply want to learn more about your rights, call Haselkorn & Thibaut now at 1-888-885-7162. Our attorneys are available to provide insight and answers – all at no cost to you. Early action matters, so don’t wait to get the experienced help you deserve.
