Alternative Investment

There are Recent Customer Complaints with Broker Richard Martin in Firm Ameriprise Financial Services, LLC

February 18, 2026 | by Staff Attorney

Currently financial advisor Richard Martin (Martin), currently 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 $330,430.00 on May 07, 2021.

The clients stated that they were provided incorrect amounts for their Required Minimum Requirement (RMD) distributions for 2014 and 2015 and were sold illiquid insurance policies (April 1991 through April 2015), annuities (April 2006 through April 2013), and a non-traded REITs (February 2009 through August 2014) that were inappropriate for their ages.

There are Recent Customer Complaints with Broker Patrick Harris in Firm Sagepoint Financial, INC.

February 18, 2026 | by Staff Attorney

Previously financial advisor Patrick Harris (Harris), previously employed by brokerage firm Sagepoint Financial, 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 settled customer complaint with a damage request of $20,000.00 on May 04, 2021.

Misrepresentation of a BDC is alleged.

There are Recent Customer Complaints with Broker Forrest Ross in Firm LPL Financial LLC

February 17, 2026 | by Staff Attorney

Previously financial advisor Forrest Ross (Ross), previously 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 $44,000.00 on May 12, 2021.

Products under DDPs include non-traded REITs, oil and gas offerings, equipment leasing investments, and a range of other alternative financial instruments. These alternative investments rarely generate profits for investors and are generally unsuitable due to their excessive fees and costly structure. By offering brokers extra commissions, firms incentivize the sale of poor-quality investments, ultimately leading to a manipulated market driven by artificial demand.

There are Recent Customer Complaints with Broker Richard Demetriou in Firm Titan Securities

February 14, 2026 | by Staff Attorney

Previously financial advisor Richard Demetriou (Demetriou), previously employed by brokerage firm Titan Securities 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 on June 09, 2021.

Overconcentration in REITs

There are Recent Customer Complaints with Broker James Reynolds in Firm Northland Securities, INC.

February 12, 2026 | by Staff Attorney

Currently financial advisor James Reynolds (Reynolds), currently employed by brokerage firm Northland 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 settled customer complaint on June 24, 2021.

Claimaints are stating that non-traded REITS were unsuitable

There are Recent Customer Complaints with Broker John Rice in Firm Independent Financial Group, LLC

February 12, 2026 | by Staff Attorney

Previously financial advisor John Rice (Rice), previously 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 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 $250,000.00 on June 21, 2021.

Allege investment in non-traded REITs was not suitable

There are Recent Customer Complaints with Broker Ashley Bolson in Firm Cfd Investments, INC.

February 11, 2026 | by Staff Attorney

Previously financial advisor Ashley Bolson (Bolson), previously employed by brokerage firm Cfd Investments, 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 settled customer complaint with a damage request of $2,658,320.00 on June 29, 2021.

The complaint alleges several activities in relation to the sale of private placement investments that were sold away from CFD Investments, Inc. The allegations include the following: Fraud and non-disclosure, Negligent Misrepresentation, Breach of Fiduciary Duty; Negligence, Breach of Contract; Failure to Supervise/Respondeat Superior; and Violations of the Iowa Securities Act.

There are Recent Customer Complaints with Broker Shirley Wong in Firm Emerson Equity LLC

February 3, 2026 | by Staff Attorney

Currently financial advisor Shirley Wong (Wong), currently employed by brokerage firm Emerson Equity LLC has been subject to at least 2 disclosable events. These events include 2 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 $500,000.00 on January 06, 2026.

Statement of claim alleges improper suitability of private placement investments for client in 2017. \, Information contained herein was obtained from the U5 amendment filing by NI Advisors.

There are Recent Customer Complaints with Broker Suihock Goy in Firm Ni Advisors

February 3, 2026 | by Staff Attorney

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 $500,000.00 on January 02, 2026.

Statement of claim alleges improper suitability of private placements sold by representative under Suihock Goy’s supervision to client in 2017. Mr. Goy was not involved in the sale.

There are Recent Customer Complaints with Broker Jeffrey Sullivan in Firm Hightower Securities, LLC

February 1, 2026 | by Staff Attorney

Currently financial advisor Jeffrey Sullivan (Sullivan), currently employed by brokerage firm Hightower Securities, 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 $400,000.00 on July 14, 2021.

Jeffrey Sullivan is involved in a FINRA arbitration alleging certain sales practice violations, including a violation of suitability obligations, in connection with a private placement investment made between September 2015 and April 2017, currently required to be disclosed pursuant to FINRA guidance. The client initiated the arbitration following poor investment performance of an externally managed private fund that Mr. Sullivan recommended, despite the fact that Mr. Sullivan had no control over the fund’s performance. Mr. Sullivan intends to defend the allegations vigorously. FINRA arbitration for this matter is still pending, and the FINRA arbitration tribunals have not yet finalized their evaluation of the client’s statement of claim. In keeping with FINRA’s disclosure requirements, this arbitration is required to be disclosed before Mr. Sullivan can defend his actions.