Investors potentially incurred losses because of securities broker Osvaldo Delgado Jr. (also known as Ozzie Delgado) [CRD: 5709747, Williston, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Delgado worked for Kovack Securities Inc. from March 9, 2012, to the present and Kovack Advisors Inc. from March 23, 2012, to the present. Read on to discover more about Delgado’s disclosures.
Evidently, a client filed a complaint about Osvaldo Delgado. Mainly, the client alleged that Delgado made unsuitable recommendations and that a fixed annuity did not perform as expected. Because of this, the client allegedly suffered damages. Consequently, on March 20, 2026, Kovack Securities Inc. settled this matter by paying the client $32,000. Delgado denied the allegations and maintained that all investments were suitable.
Unsuitable fixed annuity recommendations may occur when securities brokers or financial advisors recommend fixed annuities that do not fit a client’s investment profile. For example, a client could claim that the annuity conflicted with the client’s investment goals, liquidity needs, risk tolerance, age, or financial circumstances. Clients may also allege that surrender charges, long holding periods, fees, or product features made the annuity inappropriate.
Did you experience losses because of Osvaldo Delgado? Get in touch with Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of individuals throughout the US. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Delgado and brokerage firms Delgado worked for deny accusations of sales practice violations.
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Investors potentially incurred losses because of securities broker Osvaldo Delgado Jr. (also known as Ozzie Delgado) [CRD: 5709747, Williston, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Delgado worked for Kovack Securities Inc. from March 9, 2012, to the present and Kovack Advisors Inc. from March 23, 2012, to the present. Read […]
Investors apparently complained about securities broker Joshua William Sievers [CRD: 6927788, Fort Wayne, Indiana], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sievers worked for Bankers Life Securities Inc. from April 2, 2018, to the present, and Bankers Life Advisory Services Inc. from September 18, 2019, to the present. Investors are encouraged […]
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