Securities Lawyers Blog
Currently financial advisor Nora Mahoney (Mahoney), currently employed by brokerage firm Carleton Mckenna Advisors, 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 $750,000.00 on June 25, 2025.
Client alleges that the firm failed to conduct reasonable due diligence before recommending a private placement to him. Client claims that he invested in this private placement in September 2023 and in June 2024 and seeks damages of $750,000 and other relief.