David Victor Tall, Osaic Wealth, Barred by Securities Regulator
According to the Financial Industry Regulatory Authority (FINRA), the self-regulator has barred David Victor Tall from working in the securities industry.
Tall reportedly refused to provide information and documents requested by FINRA, leading to the bar. This matter reportedly originated from a regulatory tip made to FINRA regarding Tall.
Tall was first registered with FINRA in 1984 through an association with a FINRA member firm. He was reportedly registered with SagePoint Financial, Inc. (now known as Osaic Services) from October 2005 to September 2023, and then through an association with Osaic Wealth, Inc. from September to December 2023.
On December 19, 2023, Osaic Wealth purportedly dismissed Tall, reporting that he “was discharged after the Firm confirmed he executed two promissory notes without prior approval by the Firm.”
FINRA BrokerCheck – David Victor Tall
The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA.
Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them.
David Tall was reportedly registered with the following brokerage firm during his career in the securities industry, among others:
09/01/2023 – 12/19/2023, OSAIC WEALTH, INC. (CRD#:23131), Costa Mesa, CA
B- 10/31/2005 – 09/01/2023, SAGEPOINT FINANCIAL, INC. (CRD#:133763), SAN JUAN CAPISTRANO, CA
Free Consultation with a Securities Attorney
If you have suffered investment losses with David Tall and Osaic Wealth, the securities attorneys at the White Law Group may be able to help you. For a free consultation with a securities attorney, please call (888) 637-5510.About the White Law Group
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases.
Our firm represents investors in all types of securities related claims, including claims involving stock fraud, broker misrepresentation, churning, unsuitable investments, selling away, and unauthorized trading, among many others.
With over 30 years of securities law experience, The White Law Group has the expertise to help investors to recover their securities fraud losses.
Last modified: September 5, 2024
