Articles Tagged with Great Point Capital LLC

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Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as Great Point Capital LLC. Many investors do not recognize broker misconduct in their accounts, and those that do are often hesitant to seek help. Broker misconduct spans many issues that violate industry rules, including unauthorized trading, breach of fiduciary duty, unsuitable asset allocation, and churning. The attorneys at Gana Weinstein LLP can analyze your accounts and investments to determine if there was misconduct in the handling of your account.

Great Point Capital is a broker-dealer that engages in proprietary trading of exchange-traded equities and equity and index options through an in-house day trading desk, and it also handles private placements and wealth management for high-net-worth clients. Formed in Delaware in 2000 and headquartered in Chicago with a second office in Austin, the firm clears through a joint back office arrangement with Wedbush Securities.

Great Point Capital LLC – By the Numbers:

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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 2 disclosable events. These events include 2 customer complaints, 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 Don Linzer (Linzer), previously associated with Great Point Capital LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Linzer 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 $1,025,295.00  on May 28, 2026.

Negligence, Misrepresentation and Omissions of Material Facts, breach of fiduciary duty, failure to supervise, violation of Reg BI, unsuitable and material misleading recommendations.

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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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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
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