Alternative Investment

Broker Nathan Goad in J. Alden Associates, INC. Firm Has Customer Complaint

October 30, 2025 | by Staff Attorney

Currently financial advisor Nathan Goad (Goad), currently employed by brokerage firm J. Alden Associates, INC. 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 $3,808,192.49 on September 15, 2025.

Breach of Fiduciary duty, negligence, misrepresentation based upon the recommendation by the rep Nate Goad of private placements which occurred between March 2022 and June 2025.

There are Recent Customer Complaints with Broker Ting Chen in Firm Landolt Securities, INC.

October 28, 2025 | by Staff Attorney

Currently financial advisor Ting Chen (Chen), currently employed by brokerage firm Landolt 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 $1,180,140.98 on August 28, 2025.

Plaintiff alleges negligence, breach of fiduciary duty, and misrepresentation relating to two private placement investments made in 2018 which have underperformed.

Broker Peter Janssen in Janssen Partners, INC. Firm Has Customer Complaint

October 22, 2025 | by Staff Attorney

Currently financial advisor Peter Janssen (Janssen), currently employed by brokerage firm Janssen Partners, 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 award / judgment customer complaint with a damage request of $94,930.00 on January 05, 2023.

Claimant alleges terms of the Mega Blockchain private placement were misrepresented. Claimant alleges she was unsuitable for the investment. On or about December 28,\, 2017, Claimant invested $94,930.40 into the Mega Blockchain offering.

There are Recent Customer Complaints with Broker Robert Li in Firm LPL Financial LLC

October 21, 2025 | by Staff Attorney

Currently financial advisor Robert Li (Li), currently employed by brokerage firm LPL Financial 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 settled customer complaint with a damage request of $200,000.00 on January 06, 2023.

Customer alleges that representative recommended an investment strategy involving REITs, and buying certain equities on margin which were not suitable for the customer’s investment objectives and risk tolerance. Time period: December 2008 to January 2023.

There are Recent Customer Complaints with Broker Michael Bi in Firm Tpeg Securities, LLC

October 16, 2025 | by Staff Attorney

Previously financial advisor Michael Bi (Bi), previously employed by brokerage firm Tpeg 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 pending customer complaint with a damage request of $200,000.00 on April 10, 2025.

Alleged loss in connection with a non-firm approved private placement investment recommended by representative.

There are Recent Customer Complaints with Broker Matthew Smith in Firm Arete Wealth Management, LLC

October 16, 2025 | by Staff Attorney

Previously financial advisor Matthew Smith (Smith), previously employed by brokerage firm Arete Wealth Management, 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 pending customer complaint with a damage request of $200,000.00 on March 20, 2025.

The claimant invested in a private placement 12/22/2020 and now claims that the investment was unsuitable.

Broker Thomas Mazzara in A.g.p. / Alliance Global Partners Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

Currently financial advisor Thomas Mazzara (Mazzara), currently employed by brokerage firm A.g.p. / Alliance Global Partners 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 $50,000.00 on June 10, 2025.

The customer alleges that a recommendation of a non-traded REIT investment was not in keeping with his needs and objectives, and that the features and risks of the investment were not fully explained to him.

Broker Richard Marotzke in Berthel, Fisher & Company Financial Services, INC. Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

Previously financial advisor Richard Marotzke (Marotzke), previously employed by brokerage firm Berthel, Fisher & Company Financial Services, 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 July 29, 2025.

The claimant alleges that the Firm and representative failed to make a suitable recommendation and over-concentrated claimant’s account in an oil & gas private placement and other unspecified investments in 2014. The claimant further allege that the Firm and representative misrepresented the investments and induced the claimant to retain the investment and cause them to suffer a loss.

Broker Richard Corder in Infinex Investments, INC. Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

Previously financial advisor Richard Corder (Corder), previously employed by brokerage firm Infinex 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 pending customer complaint with a damage request of $20,000.00 on July 29, 2025.

The customer's counsel alleges that the recommendation of a non-traded REIT investment in 2014 was not in keeping with the client's investment needs and objectives, and that full disclosure was not made about the product.

There are Recent Customer Complaints with Broker Daniel Barnard in Firm Cabin Securities, INC.

October 14, 2025 | by Staff Attorney

Previously financial advisor Daniel Barnard (Barnard), 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 on July 29, 2025.

The claimant alleges that the Firm and representative failed to make a suitable recommendation and over-concentrated claimant’s account in an oil & gas private placement and other unspecified investments in 2015. The claimant further allege that the Firm and representative misrepresented the investments and induced the claimant to retain the investment and cause them to suffer a loss.