Alternative Investment

Broker Michael Amitia in Ameritas Investment Corp. Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

Previously financial advisor Michael Amitia (Amitia), previously employed by brokerage firm Ameritas Investment Corp. 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 $146,628.00 on January 15, 2021.

The customers allege unsuitable transactions in the sales of REITs and brokerage account.

There are Recent Customer Complaints with Broker Daniel Dillard in Firm Union Capital Company

April 15, 2026 | by Staff Attorney

Previously financial advisor Daniel Dillard (Dillard), previously employed by brokerage firm Union Capital Company 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 $1,500,000.00 on January 19, 2021.

Customers allege recommendations of certain private placement investments were not suitable, and that the Firm did not conduct proper due diligence on certain investments.

There are Recent Customer Complaints with Broker Jay Panzer in Firm LPL Financial LLC

April 15, 2026 | by Staff Attorney

Currently financial advisor Jay Panzer (Panzer), 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 on January 20, 2021.

Claimant alleges her investment professional recommended she invest in certain REITs and Business Development Companies which were allegedly unsuitable for her investment portfolio.

Broker Samuel Mosey in Oakpoint Solutions, LLC Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

Currently financial advisor Samuel Mosey (Mosey), currently employed by brokerage firm Oakpoint Solutions, 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 on November 05, 2025.

Between 2024 and 2025, the representative allegedly misrepresented a private placement, Airspace Data SPV III LLC.

There are Recent Customer Complaints with Broker Justin Funakura in Firm Farmers Financial Solutions, LLC

April 13, 2026 | by Staff Attorney

Previously financial advisor Justin Funakura (Funakura), previously employed by brokerage firm Farmers Financial Solutions, 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 $315,000.00 on September 02, 2025.

The representative was involved in solicitation of an unregistered private placement without Farmers Financial Solutions, LLC’s knowledge or approval. Mr. Funakura facilitated the purchase of Jazzberry promissory notes that were not approved to sell to the public

There are Recent Customer Complaints with Broker James Burton in Firm Farmers Financial Solutions, LLC

April 13, 2026 | by Staff Attorney

Previously financial advisor James Burton (Burton), previously employed by brokerage firm Farmers Financial Solutions, 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 $315,000.00 on September 02, 2025.

The representative was involved in an unregistered private placement without Farmers Financial Solutions, LLC’ knowledge or approval. Mr. Burton facilitated the purchase of Jazzberry promissory notes that were not approved to sell to the public.

Broker Daniel Mcclory in Sutter Securities Clearing, LLC / Boustead Securities, LLC / Sutter Securities Incorporated Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

Currently financial advisor Daniel Mcclory (Mcclory), currently employed by brokerage firm Sutter Securities Clearing, LLC / Boustead Securities, LLC / Sutter Securities 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 $950,000.00 on October 25, 2025.

Former accredited investor client filed arbitration claim alleging certain private placements he participated in were unsuitable. Respondent disputes the allegations in full.

Broker Sam Bhushan in Cabin Securities, INC. Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

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 $1,021,000.00 on January 20, 2026.

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.

There are Recent Customer Complaints with Broker Nathan Goad in Firm J. Alden Associates, INC.

April 9, 2026 | 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 $250,000.00 on January 21, 2026.

Breach of Fiduciary duty, negligence, misrepresentation based upon the recommendation by the rep Nate Goad of private placements which occurred between April 2022 and January 2023.

There are Recent Customer Complaints with Broker Jeffrey Armstrong in Firm LPL Financial LLC

March 31, 2026 | by Staff Attorney

Currently financial advisor Jeffrey Armstrong (Armstrong), 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 on September 10, 2020.

Claimants allege RR sold them unsuitable investments, including several private placements and non-traded REITS.