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Monica Osborne: $200K Complaint Against Avantax, Jones & Roth Advisor

Eugene, Oregon financial advisor Monica Osborne (CRD# 3256608) recently received an investor complaint alleging that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Avantax. She is also a representative of Jones & Roth Financial Advisors.

Ms. Osborne’s BrokerCheck report discloses one investor complaint. Filed in February 2024, it alleges that as a representative of Avantax Investment Services, she recommended an unsuitable direct investment. The pending complaint alleges damages of $200,000.

Jones & Roth Financial Advisors’ website includes a profile of Ms. Osborne that describes her background and qualifications. “With 20 years of experience in the financial services industry, Monica Osborne is a seasoned Certified Public Accountant / Personal Financial Specialist,” it states. “Monica is a Certified Kingdom Advisor (CKA) as well, with her background education in Business from the University of Washington. She started her career as a CPA and thus began her tax expertise, going on to serve in numerous finance and CFO positions at privately owned firms.”

According to the Financial Industry Regulatory Authority, Monica Osborne holds 24 years of securities industry experience. Based in Eugene, Oregon, she has been a broker and an investment advisor with Avantax since 1999 and 2007, respectively. She is also registered with the firm’s office in Anthem, Arizona. Her credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Combined State Law Examination, or Series 66; and the Uniform Investment Adviser Law Examination, or Series 65. She is licensed in Arizona, California, Idaho, Illinois, Michigan, Oregon, Rhode Island, and Washington. (Information current as of April 27, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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