Great Point Capital LLC

Broker John Crigler in Great Point Capital LLC Firm Has Customer Complaint

November 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Crigler (Crigler), currently associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crigler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on May 19, 2022.

Claimants allege breach of fiduciary duty, misrepresentation/non-disclosures, omission of facts, suitability, violation of Blue Sky Laws, breach of contract, failure to supervise, negligence.

Broker Chad Barancyk in Great Point Capital LLC Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chad Barancyk (Barancyk), previously associated with Great Point Capital LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Barancyk recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on June 15, 2022.

Respondent Barancyk failed to respond to FINRA requests for information.

Broker Peter Chernin in Great Point Capital LLC Firm Has Customer Complaint

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Chernin (Chernin), currently associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chernin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 08, 2023.

Claimants claim certain investments were unsuitable for them and that that risks of the investments were not revealed despite written disclosures. Claim also states a lack of supervision, and a failure to perform due diligence by broker dealer. Transactions at issue were Section 1031 Exchanges. Occurrences were in 2019 and 2020. Mr. Chernin is alleged to have been the registered representative involved. He is not named as a respondent.

Broker Joseph Kocsis in Great Point Capital LLC Firm Has Customer Complaint

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Kocsis (Kocsis), currently associated with Great Point Capital LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kocsis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $250,000.00 on February 08, 2023.

The investments at issue were replacement property as part of a Section 1031 Exchange. Claimants allege they were not suitable for the investment, and that there was not a reasonable basis for the investment recommendation. Claimants allege omissions and misstatements if fact. They also allege misrepresentation, breach of contract and other claims. Occurrences were in 2019 and 2020. Although not named in this claim Mr. Kocsis is alleged to have involved in the occurrences.

There are Recent Customer Complaints with Broker Scott Kemps in Firm Great Point Capital LLC

September 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Kemps (Kemps), previously associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kemps recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $400,000.00 on April 12, 2023.

Unsuitable, speculative, illiquid – 2014-2015

There are Recent Customer Complaints with Broker Bob Bassari in Firm Great Point Capital LLC

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bob Bassari (Bassari), previously associated with Great Point Capital LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bassari recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $25,000.00 on April 24, 2023.

Claimant bought a bond issued by GWG in the amount of 25,000 in 2017. In their Claim they alleged the recommendation was contrary to their investment objectives and best interest. Claims are common law negligence, negligent misrepresentation and omission, unsuitability, breach of fiduciary duty, breach of contract, control person liability, and the failure to supervise, in violation of Illinois Securities Statutes, FINRA Rules, and applicable common law.

Broker Rene Castro in Great Point Capital LLC Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rene Castro (Castro), currently associated with Great Point Capital LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Castro recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $32,000.00 on January 03, 2024.

Claimant Trust alleges it was not suitable for the GWG L Bonds sold to it by Mr. Castro, acting as a registered representative of Great Point Capital, the Broker Dealer.

There are Recent Customer Complaints with Broker Larry Law in Firm Great Point Capital LLC

April 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Law (Law), previously associated with Great Point Capital LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Law recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 08, 2024.

Respondent Law failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Randall Larson in Firm Great Point Capital LLC

March 20, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Randall Larson (Larson) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Larson was employed by Great Point Capital LLC at the time of the activity. If you have been a victim of Larson’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint on September 12, 2024.

This Wells Notice received from the SEC is in relation to investments from 2018-19. All matters related to this are currently pending. This proposed action would allege direct violations of Sections 15(a)(1) and 10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”) and Rule 10b-5 thereunder; aiding and abetting violations of Section 17(a)(1) of the Exchange Act and Rule 17a-4 thereunder; direct and aiding and abetting violations of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 (the “Advisers Act”), and aiding and abetting violations of Section 204 of the Advisers Act and Rule 204-2 thereunder; and direct violations of Section 17(a) of the Securities Act of 1933 (the “Securities Act”).

Broker Michael Greenfield in Great Point Capital LLC Firm Has Customer Complaint

March 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Greenfield (Greenfield), previously associated with Great Point Capital LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Greenfield recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 25, 2024.

BREACH OF FIDUCIARY DUTY, NEGLIGENCE, BREACH OF CONTRACT, FAILURE TO SUPERVISE AND NEGLIGENCE – VIOLATION OF REGULATION BEST INTEREST