Great Point Capital LLC

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

There are Recent Customer Complaints with Broker Curtis Sathre in Firm Great Point Capital LLC

February 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 16, 2025.

Investment disputes from 2004 – 2009 that ended in FINRA DR 10-00507 for the defense with the defense’s costs and expert fees assessed against the investor and an expungement award for the broker.