Articles Posted in Alternative Investment

| by

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.

Continue Reading

| by

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

Continue Reading

| by

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.

Continue Reading

| by

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.

Continue Reading

| by

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.

Continue Reading

| by

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.

Continue Reading

| by

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.

Continue Reading

| by

Previously financial advisor Steven Colacurcio (Colacurcio), previously employed by brokerage firm Dawson James 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 $35,000.00 on September 17, 2020.

From 9/18/2015 – 9/18/2015 customer alleged that the rep failed to explain the risks and fees associated with the purchase of 2 REITs.

Continue Reading

| by

Adam Gana, Managing Partner of Gana Weinstein LLP and former President of PIABA, was recently featured on the PRETEND Podcast with Javier Leiva, where he provided a detailed analysis of the GPB Capital fraud and its broader implications for investor protection.

The episode can be accessed here:

https://open.spotify.com/episode/3fxoD289aLXm52BZI6yCdi?si=32c7b857307641e0

Continue Reading

| by

Currently financial advisor Amanda Ton (Ton), currently employed by brokerage firm Usca 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 $100,000.00 on October 13, 2020.

Clients filed arbitration against USCA Securities alleging negligence, professional negligence, violations of law, negligent supervision, breach of contract, breach of fiduciary duty, and breach of securities industry rules and regulations in connection with an oil and gas private placement investment recommended by Ms. Ton.

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design