Private placements and alternative investments sold through networks of broker-dealers often appear “stable” on account statements, sometimes persist for years without valuation changes, and can outperform in normal markets. But when economic conditions shift, rising costs and cash-flow stress can expose weaknesses that leave investors with large losses and few…
The law offices of Gana Weinstein LLP are representing investors to recover losses due to investments in Inspired Healthcare Capital (IHC) – a private equity / alternative investment sponsor based in Arizona focused on senior housing, healthcare real estate, and senior living projects. On February 2, 2026, IHC filed voluntary…
Currently financial advisor Michael Mashak (Mashak), currently employed by brokerage firm Equitable Advisors, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
Currently financial advisor Hans Sharma (Sharma), currently employed by brokerage firm Innovation Partners LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as…
Currently financial advisor James Geake (Geake), currently employed by brokerage firm Madison Avenue Securities, LLC has been subject to at least 3 disclosable events. These events include 3 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such…
Currently financial advisor Michael Tannery (Tannery), currently employed by brokerage firm Independent Financial Group, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Ariel Rivero (Rivero) has at least two disclosable events. These events include two customer complaints alleging that Rivero engaged in some form of investment related misconduct in the handling of the client’s accounts. Rivero is currently employed…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Daryl Tomobu Serizawa, currently employed by Woodbury Financial Services, Inc., has been subject to at least three customer complaints during his career. According to records kept by the Financial Industry Regulatory Authority (FINRA), Serizawa’s customer complaints allege that…
Advisor Christopher Ortiz (Ortiz), currently employed by National Securities (National Securities) has been subject to at least two customer complaints during the course of his career. According to a BrokerCheck report the complaints appear to concern unsuitable investments in private placements investments. These allegations may concern investments in GPB Capital…
Advisor Troy Goldberg (Goldberg), currently employed by National Securities (National Securities) has been subject to at least 13 customer complaints during the course of his career. According to a BrokerCheck report the six most recent customer complaints filed since 2019 appear to concern unsuitable investments in private placements investments. These…