Alternative Investment

Currently financial advisor Garrick Gookin (Gookin), currently employed by brokerage firm Centaurus 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 pending customer complaint with a damage request of $100,000.00 on May 31, 2024.

The customer alleges that the Registered Representative recommended an unsuitable, high-risk, illiquid investment and breached his fiduciary duty. No specific dates for the alleged activity were identified in the Statement of Claim.

Currently financial advisor Brent Nelson (Nelson), currently employed by brokerage firm Stonex 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 $180,000.00 on August 21, 2024.

Claimant alleges respondent sold high-commission, complex, risky alternative investment and illiquid investment products causing significant decrease in the value of invested principal.

Articles Posted in Alternative Investment

There are Recent Customer Complaints with Broker Garrick Gookin in Firm Centaurus Financial, Inc.

Broker Brent Nelson in Stonex Securities Inc. Firm Has Customer Complaint