J. Alden Associates

There are Recent Customer Complaints with Broker Nathan Goad in Firm J. Alden Associates, INC.

April 9, 2026 | by Staff Attorney

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.

Broker Stephen Patterson in J. Alden Associates, INC. Firm Has Customer Complaint

April 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Patterson (Patterson), currently associated with J. Alden Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Patterson 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 $848,504.00 on February 10, 2026.

When your financial advisor is providing advice they must adhere to the SEC’s Regulation Best Interest (Reg BI) rule and standard of care. Reg BI replaced the former “suitability” rule and created a ‘best interest’ standard for brokerage firms and registered representatives. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts.

Broker Robert Boyer in J. Alden Associates, INC. Firm Has Customer Complaint

January 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on September 21, 2021.

Without admitting or denying the findings, Boyer consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA related to a matter that originated that from a Form U4 amendment filed by his member that disclosed a customer complaint alleging that he established multiple accounts that the complainant wasn’t in a financial position to purchase and that the complainant never reviewed nor signed some of the applications for these products, which were later found to contain false information.

There are Recent Customer Complaints with Broker Michael Sharp in Firm J. Alden Associates, INC.

January 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 15, 2021.

Claimants alleged the alternative investments they purchased in years 2013, 2014 and 2015 were misrepresented and not suitable.

Broker Nathan Goad in J. Alden Associates, INC. Firm Has Customer Complaint

October 30, 2025 | by Staff Attorney

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 $3,808,192.49 on September 15, 2025.

Breach of Fiduciary duty, negligence, misrepresentation based upon the recommendation by the rep Nate Goad of private placements which occurred between March 2022 and June 2025.

There are Recent Customer Complaints with Broker Robert Moore in Firm J. Alden Associates, INC.

October 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Moore (Moore), currently associated with J. Alden Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 $900,000.00 on September 03, 2025.

Breach of fiduciary duty, negligence, misrepresentation, based upon the recommendation by the rep Robert Moore in July 2021 to invest in Spring Hills Holdings.

Broker Nathan Goad in J. Alden Associates, INC. Firm Has Customer Complaint

October 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathan Goad (Goad), currently associated with J. Alden Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Goad 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 $500,000.00 on April 14, 2025.

Breach of Fiduciary duty, negligence, misrepresentation based upon the recommendation by the rep Nate Goad of Key City Capital and RAD Diversified placements which occurred between October 2022 and January 2023.

Broker Robert Moore in J. Alden Associates, INC. Firm Has Customer Complaint

October 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Moore (Moore), currently associated with J. Alden Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 $900,000.00 on August 22, 2025.

Breach of Fiduciary duty, negligence, misrepresentation based upon the recommendation by the rep Robert Moore in July 2021 to invest in Spring Hills Holdings.

Broker James Pepperman in J. Alden Associates, INC. Firm Has Customer Complaint

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pepperman (Pepperman), currently associated with J. Alden Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pepperman 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 $644,610.00 on November 27, 2023.

James Pepperman was the registered representative for the plaintiff to where the client invested in a private fund. This fund invested a portion of its assets into another private fund in which the portfolio manager was charged by the Securities and Exchange Commission with defrauding investors and who pled guilty to securities fraud and was sentensed to 109 months in prison and ordered to pay $47.2 million in restitution. The senencing date was January 20, 2022.

Broker Jeffrey Arsenault in J. Alden Associates, Inc. Firm Has Customer Complaint

March 12, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Jeffrey Arsenault (Arsenault) 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 Arsenault was employed by J. Alden Associates, Inc. at the time of the activity. If you have been a victim of Arsenault’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint on October 11, 2024.

Please refer to SEC Case 3:24-cv-01633\, \, Misappropriation of client assets in the amount of $4,100,000.