Last Updated: August 2025 — Bedminster, New Jersey
Here’s what you need to know about Bedminster, NJ, stockbroker Joseph Spina:
- Name: Joseph Spina
- CRD Number: 5769018
- Current Employer: Osaic Wealth, Inc. (registered since 09/01/2023)
- Primary Location/Branch:221 Somerville Road, Bedminster, NJ 07921
- Function: Stockbroker / Financial Advisor
- Previously Registered With: SagePoint Financial, Inc. (2010–2023)
- Licensing Snapshot: Registered with 1 SRO; licensed in 32 U.S. states/territories; passed Series 24, 26, 52, 7, SIE, and 66 exams
- Can Joseph Spina be sued in FINRA arbitration? Yes
- DBA: Evergreen Financial Group
- Sanctioned by FINRA? No
- Pending Customer Dispute Seeks Damages of:$750,000
If you’ve sustained damages from Mr. Spina, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Joseph Spina As Your Stockbroker?
A customer dispute filed in 10/ 2024 alleges that equities were purchased and sold contrary to the clients’ objectives and risk tolerance while Mr. Spina was associated with Osaic Wealth. The claim seeks $750,000 in damages. FINRA Case No. 25-00385
Allegations of Broker Misconduct Against Joseph Spina
Unsuitable trading/recommendations in listed equities.
Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
FINRA Rule 2111- suitability -Regulation Best Interest
Recover Your Investment Losses Now With Rex Securities Law
Investigations of other Osaic Wealth brokers
If you have suffered investment losses in an account handled by Joseph Spina, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.