Articles Tagged with Great Point Capital LLC

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

FINRA BrokerCheck shows a pending customer complaint on March 09, 2026.

Purchased DST as part of a 1031 tax-deferred exchange. Claimant alleges a lack of suitability and due diligence, breach of contract and fiduciary duty, among other claims. Purchase dates of investments include May 2, 2022, and May 31, 2022.

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $475,000.00 on March 09, 2026.

Purchased DST as part of a 1031 tax-deferred exchange. Claimant alleges a lack of suitability and due diligence, breach of contract and fiduciary duty among other claims. Purchase date of the investment is February 28, 2023.

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on March 24, 2026.

Breach of contract, violation of securities laws and Regulation Best Interest

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on March 26, 2026.

Purchased DST as part of a 1031 tax-deferred exchange. Claimant alleges a lack of suitability and due diligence, breach of fiduciary duty, among other claims. Purchase of investments occurred during or after 2021.

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $186,756.35 on April 06, 2026.

Client claims investment recommendation was unsuitable in view of his financial situation, investment objectives and risk tolerance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Terry (Terry), previously associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Terry 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 May 19, 2020.

Unsuitable, illiquid products

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on February 04, 2026.

Purchased DST as part of a 1031 tax-deformed exchange. Claimant’s lack of suitability and due dilligence, break of contract and fidicuary duty.

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $84,000.00 on February 04, 2026.

Purchased bonds GWG; Castro acted as broker for GWG. Rolled bonds over after substantial payment and distribution stopped.

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $20,000.00 on February 12, 2026.

Customer alleges in 2024 adviser recommended a retirement plan structure that was ill suited for the customer and other causes of action.

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on February 25, 2026.

Purchased Inspired Health Care Income Fund V, claimed lack of suitability and due diligence of product.

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295 Madison Ave #705
New York, NY 10017
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#100
Chicago, IL 60613
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#1
Montclair, NJ 07042
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