Alternative Investment

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.

There are Recent Customer Complaints with Broker John Sullivan in Firm Huntleigh Securities Corporation

January 31, 2026 | by Staff Attorney

Currently financial advisor John Sullivan (Sullivan), currently employed by brokerage firm Huntleigh Securities Corporation 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 July 20, 2021.

Claimants do not reference any dates or specific products in their Statement of Claim, other than referencing ‘alternative investments.’ Claimants also did not include the representative as a Respondent to this arbitration. The foregoing notwithstanding, Claimants purchased two investments commonly referred to as non-exchange traded REITs or alternative investments on or about February 8, 2015. Claimants allege that Respondent breached a fiduciary duty to Claimants, failed to conduct adequate due diligence, perform proper suitability analyses, provide balanced disclosures, implement appropriate internal controls, and to properly train its financial advisor. The Company’s first notice of any complaint about this purchase from the Claimants was upon receipt of the notice of Statement of Claim filed by Claimants, nearly six and a half years after the purchase.

Broker James Day in Hightower Securities, LLC Firm Has Customer Complaint

January 30, 2026 | by Staff Attorney

Currently financial advisor James Day (Day), 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 $100,001.00 on July 23, 2021.

James Day was involved with a FINRA arbitration claim brought by his former customer alleging certain sales practices and securities law violations, including customer suitability claims, negligence claims, breach of contract and fiduciary duty, and supervisory and due diligence deficiencies relating to the customer’s investments in private placement products in October 2015 and January 2017, totaling $100,001.

Broker Alan Kasser in J.w. Cole Financial, INC. Firm Has Customer Complaint

January 29, 2026 | by Staff Attorney

Currently financial advisor Alan Kasser (Kasser), currently employed by brokerage firm J.w. Cole 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 $75,000.00 on August 02, 2021.

Clients allege REITs purchased were unsuitable

Broker John Gibson in Hightower Securities, LLC Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

Previously financial advisor John Gibson (Gibson), previously 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 $100,001.00 on August 18, 2021.

John Gibson is the subject of a FINRA arbitration alleging certain sales practice violations, including a violation of suitability obligations, in connection with a private placement investment made on or around February 2019, currently required to be disclosed pursuant to FINRA guidance. FINRA arbitration for this matter is still pending, and the FINRA arbitration tribunals have not yet finalized its evaluation of the client’s statement of claim. In keeping with FINRA’s disclosure requirements, this arbitration is required to be disclosed before Mr. Gibson can defend his actions.

Broker Sean Burr in J.w. Cole Financial, INC. Firm Has Customer Complaint

January 27, 2026 | by Staff Attorney

Currently financial advisor Sean Burr (Burr), currently employed by brokerage firm J.w. Cole 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 $90,000.00 on August 23, 2021.

Clients alleged REITs purchased were unsuitable

There are Recent Customer Complaints with Broker Shawn Everett in Firm Regulus Financial Group, LLC

January 24, 2026 | by Staff Attorney

Currently financial advisor Shawn Everett (Everett), currently employed by brokerage firm Regulus 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 on September 16, 2021.

Claimant alleges that the registered representative recommended unsuitable high-risk REITs.

Broker Keith Chandler in Ameriprise Financial Services, INC. Firm Has Customer Complaint

January 24, 2026 | by Staff Attorney

Previously financial advisor Keith Chandler (Chandler), previously employed by brokerage firm Ameriprise 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 settled customer complaint with a damage request of $203,000.00 on September 20, 2021.

Claimant alleges that she was recommended to invest in unsuitable and risky privately traded BDCs, FSKR and FSEP.

Broker Gloria Lakritz in J.w. Cole Financial, INC. Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

Previously financial advisor Gloria Lakritz (Lakritz), previously employed by brokerage firm J.w. Cole 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 $100,000.00 on September 30, 2021.

Client alleges REITs purchased were unsuitable.