Alternative Investment

Broker William Candler in Jcc Capital Markets, LLC / Cabin Securities, INC. Firm Has Customer Complaint

March 4, 2026 | by Staff Attorney

Currently financial advisor William Candler (Candler), currently employed by brokerage firm Jcc Capital Markets, LLC / 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 $3,400,000.00 on December 30, 2025.

Candler was the named respondent of the customer complaint regarding a reg D private placement. The complaint alleges the following causes of action; fraud, misrepresentation, omissions of material facts, unsuitable recommendations, breech of contract, and breach of fiduciary duty.

There are Recent Customer Complaints with Broker Robert Lybbert in Firm Edward Jones

March 3, 2026 | by Staff Attorney

Currently financial advisor Robert Lybbert (Lybbert), currently employed by brokerage firm Edward Jones has been subject to at least 5 disclosable events. These events include 5 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 $1,000,000.01 on January 13, 2026.

Claimants allege breach of fiduciary duty, negligent failure to supervise, and negligence as a result of unsuitable and fraudulent hedge fund investments.

There are Recent Customer Complaints with Broker Suihock Goy in Firm Ni Advisors

March 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 $499,000.00 on January 06, 2026.

Claim suitability, supervision, negligence, breach of fiduciary duty, etc. For purchase of various private placements during 2020-2022.

There are Recent Customer Complaints with Broker Cole Conrad in Firm LPL Financial LLC

March 1, 2026 | by Staff Attorney

Currently financial advisor Cole Conrad (Conrad), 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 March 01, 2021.

The complainant alleges that the REITs that were sold to him beginning in or around 2014 were unsuitable for his conservative portfolio.

There are Recent Customer Complaints with Broker Timothy Hanson in Firm Mcdonald Partners LLC

February 28, 2026 | by Staff Attorney

Currently financial advisor Timothy Hanson (Hanson), currently employed by brokerage firm Mcdonald Partners 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 $46,000.00 on March 08, 2021.

Claimant alleges that investments made in 2016 in two different private placement offerings were unsuitable.

There are Recent Customer Complaints with Broker Jerrold Borrowman in Firm Hornor, Townsend & Kent, INC.

February 28, 2026 | by Staff Attorney

Previously financial advisor Jerrold Borrowman (Borrowman), previously employed by brokerage firm Hornor, Townsend & Kent, 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 on March 08, 2021.

The FINRA action alleges that the former Registered Representative recommended unsuitable investments for his IRA portfolios (REITs). It alleges violations of FINRA Broker-Dealer rules, violation of FINRA Rule 3010, breach of fiduciary duty, negligence, fraudulent and negligent misrepresentations, and liability under the doctrine of Respondeat Superior. It claims losses of principal, interest, commissions and fees, loss of income if managed properly, attorneys’ fees, costs and other expenses, and interest, all other sums Claimant is entitled to at law or equity, and punitive damages.

Broker Joseph Michaletz in Dai Securities, LLC Firm Has Customer Complaint

February 25, 2026 | by Staff Attorney

Currently financial advisor Joseph Michaletz (Michaletz), currently employed by brokerage firm Dai Securities, LLC has been subject to at least 3 disclosable events. These events include 3 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 $2,550,000.00 on March 24, 2021.

Claimants allege unsuitable recommendation and overconcentration of private placements.

Broker Richard Weeks Iv in Hightower Securities, LLC Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

Currently financial advisor Richard Weeks Iv (Weeks Iv), 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 $450,000.00 on April 09, 2021.

Richard Weeks is the subject of a FINRA arbitration alleging sales practice violations, including a violation of suitability obligations, in connection with a private placement investment made on or around February 2017, currently required to be disclosed pursuant to FINRA guidance. \, \, The 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. Weeks can defend his actions.

Broker Frank Betsch in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

Previously financial advisor Frank Betsch (Betsch), previously employed by brokerage firm Purshe Kaplan Sterling Investments 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 April 26, 2021.

Client alleges that Financial Professional misrepresented the risks associated with REITS and BDCs and that the investments were unsuitable.

Broker Dawn Strachan in Osaic Wealth, INC. Firm Has Customer Complaint

February 19, 2026 | by Staff Attorney

Currently financial advisor Dawn Strachan (Strachan), currently employed by brokerage firm Osaic Wealth, 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 $999,999.00 on April 29, 2021.

Clients allege 2015 Private Placement and Real Estate Investment Trusts (REITs) purchases were unsuitable.