DID ERIC CHARLES MARSHALL CAUSE YOU INVESTMENT LOSSES?
About Eric Marshall of Osaic Wealth, Inc.?
Eric Marshall (CRD #4767380) is a registered broker currently affiliated with Osaic Wealth, Inc. in East Peoria, IL since January 19, 2024. He has a robust registration history, previously serving with Woodbury Financial Services, Inc. from June 2004 to January 2024. Marshall has passed four key securities industry exams, including two general industry/product exams (Securities Industry Essentials and Series 6) and two state securities law exams (Series 65 and Series 63). He is licensed in 29 U.S. states and territories and has no principal/supervisory exam completions. His career showcases significant geographic reach and a sustained commitment to compliance with industry standards.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Eric Marshall Customer Complaints and Reviews
Eric C. Marshall’s FINRA report includes one criminal and one customer dispute disclosure:
- Criminal Disclosure (Final): On February 11, 1991, Marshall faced a charge of retail theft (Class A misdemeanor) in Lincoln, IL, resulting in a guilty plea. The court supervision ended on March 20, 1991, with a fine of $75 and restitution of $3.26.
- Customer Dispute (Pending): Initiated on March 18, 2024, this complaint involves allegations against practices at Woodbury Financial Services, Inc., where the claimant alleges unsuitable investment recommendations and unauthorized trading involving corporate debt and real estate securities. The claimed damages are $75,000, with the case currently under arbitration in FINRA Dispute Resolution (Case #24-00595).
Allegations Against Eric Marshall
- Criminal Allegation: Marshall was involved in a retail theft incident on February 11, 1991, where he was found guilty of stealing items. This misdemeanor charge led to court-supervised restitution and a fine.
- Customer Complaint Allegations (Pending): The allegations include unsuitable investment recommendations and unauthorized trading in a client’s bond portfolio, focusing on alternative investments and corporate debt securities. The matter is pending resolution under FINRA’s arbitration process, emphasizing significant financial implications for the client involved.
Eric Marshall Red Flags & Your Rights As An Investor
Of course, Eric Marshall did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Eric Marshall at Osaic Wealth, Inc. on alert to review carefully the activity and performance of their accounts and question whether Eric Marshall has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic Wealth, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Osaic Wealth, Inc. Due To Eric Marshall
If you have questions about Osaic Wealth, Inc. and/or Eric Marshall and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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