DID VINCE LAGATTA CAUSE YOU INVESTMENT LOSSES?
Vince Lagatta Of Osaic Wealth, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct
About Vince Lagatta of Osaic Wealth, Inc.?
Vince Lagatta (CRD #3098611) is currently employed and registered with Osaic Wealth, Inc. in Gilbert, Arizona, having joined the firm in June 2024. He is registered across 10 U.S. states and territories, showcasing a broad geographic reach in his licensure. Lagatta has passed two general industry/product exams—the Securities Industry Essentials Examination and the General Securities Representative Examination—as well as two multi-state securities law exams. His professional history includes various roles at firms such as PNC Investments, BBVA Securities Inc., and U.S. Bancorp Investments, indicating a diverse experience in the financial services sector.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Vince Lagatta Customer Complaints and Reviews
Vince Lagatta has been involved in three customer disputes:
- Customer Dispute (Settled in April 2014): The complaint alleged misrepresentations and breaches of fiduciary duties related to the tax benefits of an insurance policy purchased in 2006 for a 419 single employer benefit plan. The settlement was resolved with the firm paying $140,000, with no financial contribution from Lagatta.
- Customer Dispute (Closed-No Action in May 2014): A client claimed the surrender period of a Genworth fixed annuity was not properly explained, resulting in an alleged financial discrepancy. The complaint was denied with no action taken against Lagatta.
- Customer Dispute (Pending as of June 2024): The client alleges misleading advice concerning a 3-year buffered structured note leading to a loss of principal. This complaint is currently pending resolution.
Allegations Against Vince Lagatta
- Customer Complaint (Settled in April 2014):
- Allegation: Misrepresentations and breach of fiduciary duty concerning an insurance policy’s tax benefits.
- Outcome: Settled with the firm paying $140,000; no wrongdoing admitted by Lagatta.
- Customer Complaint (Closed-No Action in May 2014):
- Allegation: Miscommunication regarding the terms of a fixed annuity, specifically the length of the surrender period.
- Outcome: Complaint was denied and closed with no action taken.
- Customer Complaint (Pending as of June 2024):
- Allegation: Misleading advice about the terms and performance of a buffered structured note, leading to financial loss.
- Current Status: Pending resolution.
Vince Lagatta Red Flags & Your Rights As An Investor
Of course, Vince Lagatta 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 Vince Lagatta at Osaic Wealth, Inc. on alert to review carefully the activity and performance of their accounts and question whether Vince Lagatta 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 firms’ 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 Vince Lagatta
If you have questions about Osaic Wealth, Inc. and/or Vince Lagatta 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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