Garry Lynn Osing, of Cordova, Tennessee, a stockbroker currently registered with WFG Investments, Inc., has been named in a customer initiated investment related arbitration claim on January 31, 2017, in which the customer requested $30,924.00 in damages based upon allegations that Osing made unsuitable investment recommendations to the customer regarding real estate securities and equipment leasing products, and did not conduct a reasonable amount of due diligence on the investments.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on July 3, 2014, a customer filed an investment related written complaint involving Osing’s conduct, in which the customer requested $165,000.00 in damages based upon allegations that he made misrepresentations to the customer and effected unsuitable transactions in the customer’s account regarding stock and annuity products, and failed to properly handle the customer’s portfolio regarding dividend distributions.
Mark Nelson Holloway, of Edmond, Oklahoma, a stockbroker currently registered with WFG Investments, Inc., has been named in a customer initiated investment related arbitration claim, which settled on February 22, 2017, for $12,000.00 in damages based upon allegations that Holloway made unsuitable recommendations and misrepresentations to the customer regarding convertible preferred stock investments.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that on December 20, 2016, a customer filed an investment related arbitration claim involving Holloway’s conduct, in which the customer requested $50,000.00 in damages based upon allegations that Holloway made misrepresentations to the customer concerning security offering documents, and did not conduct reasonable due diligence in reference to stock transactions effected in the customer’s investment account.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
