Articles Posted in Selling Away

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Raymond Pirrello (Pirrello) 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 Pirrello was employed by Garden State Securities, INC. at the time of the activity.  If you have been a victim of Pirrello’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,800,000.00 on April 25, 2022.

Suitability, churning, beach of fiduciary duty.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker David Del Rio (Del Rio) 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 Del Rio was employed by LPL Financial LLC at the time of the activity.  If you have been a victim of Del Rio’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $3,000,000.00 on June 15, 2022.

Claimant alleges that during the approximate time period 2014-2018, representative engaged in selling away and that representative used client funds for his own personal benefit.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Bernard Adair (Adair) 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 Adair was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated at the time of the activity.  If you have been a victim of Adair’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on September 06, 2022.

The court-appointed guardian of the customer alleges misappropriation of funds from 2017 through 2019, misrepresentations, unsuitable investment strategy and facilitated transactions which were not in the best interest of the customer.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Theodore Kourpas (Kourpas) 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 Kourpas was employed by Independent Financial Group, LLC at the time of the activity.  If you have been a victim of Kourpas’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,450,000.00 on September 11, 2025.

Respondents’ misrepresentations, omissions, unsuitable recommendation, selling away violations and Claimant suffered significant losses.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Vincent Ferrara (Ferrara) 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 Ferrara was employed by Ameriprise Financial Services, LLC at the time of the activity.  If you have been a victim of Ferrara’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,000,000.00 on September 19, 2025.

Client alleges misappropriation of funds.

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on September 23, 2025.

Misappropriation of funds.

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $155,000.00 on September 24, 2025.

Misappropriation alleged with regard to loan funds

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Timothy Darnell (Darnell) 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 Darnell was employed by Bankers Life Securities, INC. at the time of the activity.  If you have been a victim of Darnell’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $400,000.00 on September 30, 2025.

The arbitration alleges the RR made unsuitable recommendations, alleges breach of fiduciary duty, negligence, misrepresentation, and selling away related to an alleged Ponzi scheme with First Liberty Building & Loan, LLC

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Barbara Bart (Bart) 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 Bart was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated at the time of the activity.  If you have been a victim of Bart’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on December 14, 2022.

The Customer alleges misappropriation of funds and unsuitable investments from 2009 until 2017.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Michael Schmidt (Schmidt) 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 Schmidt was employed by Morgan Stanley at the time of the activity.  If you have been a victim of Schmidt’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on December 14, 2022.

Claimant alleged, inter alia, forgery and misappropriation of funds from inherited IRA account 2019-2022.

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