Articles Posted in Alternative Investment

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Previously financial advisor Kathryn Larson (Larson), previously employed by brokerage firm Ameriprise Financial Services, 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 direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on December 09, 2020.

Claimant alleges that she was recommended to invest in an unsuitable and risky product, FKSSR II, a privately traded BDC.

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Previously financial advisor Charles Kulch (Kulch), previously employed by brokerage firm Next Financial Group, INC. has been subject to at least 6 disclosable events. These events include 5 customer complaints, one regulatory event. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on December 16, 2020.

Alleged unsuitable recommendation of investments in registered, non-traded real estate investment trusts (REITs) between September 2015 to June 2020.

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Currently financial advisor Cheryl Brown (Brown), currently employed by brokerage firm LPL Financial 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 direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $450,000.00 on December 15, 2020.

Clients allege that Financial Professional misrepresented the risks associated with BDCs and that the investments were unsuitable. Date of Activity:12/21/10 to 11/16/20

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Previously financial advisor Derek Delsimone (Delsimone), previously employed by brokerage firm Burpee Del Simone Capital Markets 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 direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $350,000.00 on January 29, 2021.

Claimants allege their investment professional recommended they invest in certain REITs and BDCs which they allege were unsuitable for their investment portfolio.

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Currently financial advisor Bryson Blackwell (Blackwell), currently employed by brokerage firm Realta Equities, INC. 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 direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint on December 10, 2025.

The claimants allege breach of its duties and obligations to claimants with recommendation to invest in real estate based Regulation D private placement.

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Currently financial advisor Jeffrey Mahoney (Mahoney), currently employed by brokerage firm Van Clemens & CO. Incorporated 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 direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $150,000.00 on December 22, 2025.

Clients alleged that private placements/investment purchased between 2013 and 2019 were unsuitable.

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Previously financial advisor Sam Bhushan (Bhushan), previously employed by brokerage firm Cabin Securities, INC. 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 direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,400,000.00 on December 30, 2025.

Bhushan was the subject of the customer’s complaint regarding a reg D private placement. The complaint against his member asserted the following causes of action, fraud, misrepresentation, omissions of material facts, unsuitable recommendations, breach of contract, and breach of fiduciary duty.

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Currently financial advisor William Candler (Candler), currently employed by brokerage firm Jcc Capital Markets, LLC / Cabin Securities, INC. 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 direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,400,000.00 on December 30, 2025.

Candler was the named respondent of the customer complaint regarding a reg D private placement. The complaint alleges the following causes of action; fraud, misrepresentation, omissions of material facts, unsuitable recommendations, breech of contract, and breach of fiduciary duty.

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Currently financial advisor Robert Lybbert (Lybbert), currently employed by brokerage firm Edward Jones has been subject to at least 5 disclosable events. These events include 5 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,000,000.01 on January 13, 2026.

Claimants allege breach of fiduciary duty, negligent failure to supervise, and negligence as a result of unsuitable and fraudulent hedge fund investments.

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Currently financial advisor Suihock Goy (Goy), currently employed by brokerage firm Ni Advisors 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 direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $499,000.00 on January 06, 2026.

Claim suitability, supervision, negligence, breach of fiduciary duty, etc. For purchase of various private placements during 2020-2022.

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