Alternative Investment

There are Recent Customer Complaints with Broker Robert Gianchiglia in Firm Oneamerica Securities, INC.

April 23, 2026 | by Staff Attorney

Currently financial advisor Robert Gianchiglia (Gianchiglia), currently employed by brokerage firm Oneamerica 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 with a damage request of $200,000.00 on August 18, 2020.

FINRA arbitration 19-03388 in which the claimants allege misrepresentation in the sale of private placement

Broker Norman Heyman in Sagepoint Financial, INC. Firm Has Customer Complaint

April 18, 2026 | by Staff Attorney

Previously financial advisor Norman Heyman (Heyman), 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 $80,000.00 on December 30, 2020.

Customer alleges a recommendation of a BDC investment was not suitable.

There are Recent Customer Complaints with Broker Frederick Driscoll in Firm Cetera Wealth Services, LLC

April 17, 2026 | by Staff Attorney

Currently financial advisor Frederick Driscoll (Driscoll), currently employed by brokerage firm Cetera Wealth 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 January 06, 2021.

The claimant alleges that representative invested 100% of her mother’s IRA assets into a risky and illiquid non-traded REIT 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.