Selling Away

Broker John Westbrook in Cape Securities INC. Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on November 10, 2020.

Without admitting or denying the findings, Westbrook consented to the sanctions and to the entry of findings that he participated in private securities transactions totaling $350,335 without prior disclosure to or approval from his member firm. The findings stated that Westbrook solicited investors to purchase securities of a company that represented itself as a structured cash flow investment. Westbrook received a total of $14,013 in commissions in connection with his sales of the company’s securities. Later, the company ceased business, owing nearly $300 million in unpaid investor payments. In a subsequent indictment, the United States charged the company and its owner with conspiracy to engage in mail and wire fraud related to the company’s operations.

Broker Sumitro Pal in Morgan Stanley Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Sumitro Pal (Pal) 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 Pal was employed by Morgan Stanley at the time of the activity. If you have been a victim of Pal’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 $75,000.00 on November 13, 2020.

Claimant alleges, inter alia, selling away with respect to investments – Oct, 2007

There are Recent Customer Complaints with Broker Richard Finnell in Firm Mwa Financial Services INC.

March 16, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Richard Finnell (Finnell) 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 Finnell was employed by Mwa Financial Services INC. at the time of the activity. If you have been a victim of Finnell’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 $15,500.00 on December 22, 2020.

Customer alleges that Registered Representative Richard K. Finnell was involved in two unauthorized withdrawals totaling $39,250. The misappropriation of funds claim is on a fixed annuity certificate that is currently owned by the client’s Irrevocable Trust. The claim also alleges fraud in that Mr. Finnell forged a signature and witnessed a forged signature. This arbitration is a continuation of a dispute that was submitted as a written request for information on November 16, 2018 to Woodmen Financial Services, Inc. and a complaint to FINRA in March of 2019, Case No. 20190617285. This also relates to FINRA arbitration case 20-03730.

There are Recent Customer Complaints with Broker Joseph Whitney in Firm Wedbush Securities INC.

March 10, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on January 30, 2021.

Whitney engaged in dishonest and unethical practices in the securities business by (1) violating UBS’ Reporting Client and Other Complaints policy and failing to timely report a complaint to UBS. (2) violating UBS’ Prohibition Against Selling Away policy and referring his customer to his wife, M-Whitney for a private real estate investment. (3)\<char_lb_r>\, violating UBS’ COI Policies by, among other things, failing to address the conflict of interest that arose through referring a customer to M-Whitney, and putting his own interest before his customer’s interests. (4) recommending CG take out the Securities Backed Loan without a reasonable basis that it was suitable.

There are Recent Customer Complaints with Broker Steven Arch in Firm Wells Fargo Advisors Financial Network, LLC

March 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

Claimant alleges that the beginning around December 2014, FA did not act upon red flags of elder exploitation, including accusations of misappropriation of funds, changes in handling of the trust, withdrawals and improper use of funds which were misappropriated by the account holder’s family member.

Broker Leo Michael Dinolfo in Kraken Securities Firm Has Customer Complaint

March 7, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Leo Michael Dinolfo (Dinolfo) 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 Dinolfo was employed by Kraken Securities at the time of the activity. If you have been a victim of Dinolfo’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 $1,655,667.00 on June 29, 2023.

In October of 2021, the Plaintiffs were involved in a loss of investment. The investment opportunity involved an algorithm that traded foreign exchange currency pairs. I was involved on this investment opportunity as an investor, and on the suggestion of my mentor at the time. My previous mentor is also named as one of the defendants in this case. The Plaintiffs in this case are family members or family friends of mine. In the year 2023, the Plaintiffs filed a lawsuit in the city of Toronto against myself, Leo-Michael Dinolfo, and multiple other defendants. The Plaintiffs alleged the following against the defendants: fraud, fraudulent and negligent misrepresentation, breach of trust, breach of fiduciary duty, misappropriation and conversion, conspiracy to injure, breach of contract, negligence and unjust enrichment. The case is still currently pending as of February 21, 2025. To date, not all defendants have been served by the Plaintiffs. Further, no discovery has taken place, nor has it been scheduled. The Plaintiffs have additionally missed a number of procedural timelines. I, Leo-Michael Dinolfo, am actively contesting said allegations, deny any wrongdoing, and have not admitted any liability in relation to the litigation. I have provided the Plaintiffs’ with my Notice of Defence and Statement of Defence. There has yet to be any real progress on this case, and it has been referred to case management that has yet to occur.

Broker George Warner in Chelsea Financial Services Firm Has Customer Complaint

February 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on March 09, 2021.

Without admitting or denying the findings, Warner consented to the sanction and to the entry of findings that he failed to produce information or documents requested by FINRA in connection with an investigation into his potential participation in undisclosed private securities transactions.

There are Recent Customer Complaints with Broker Gerald Dewes in Firm Cadaret, Grant & Co., INC.

February 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 07, 2021.

Claimant alleges unsuitable investment recommendations, common law fraud, breach of contract, negligent supervision, and breach of fiduciary duty in connection with alleged investments in an unapproved private investment and two OTC stocks that were recommended by Mr. Dewes through his independent registered investment adviser and effected through accounts held at a third-party custodian.

There are Recent Customer Complaints with Broker Louis Olave in Firm Lincoln Investment

February 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on April 30, 2021.

Without admitting or denying the findings, Olave consented to the sanctions and to the entry of findings that he participated in private securities transactions totaling $217,477 without prior disclosure to, or approval from, his member firm. The findings stated that Olave solicited investors to purchase securities of a company that represented itself as a structured cash flow investment that purchased pensions at a discount from pensioners and then sold a portion of those pensions as a pension stream to investors. The company generally promised investors a seven to eight percent rate of return on their investment. Olave received a total of $3,795 in commissions in connection with his sales of the securities.

Broker Candido Viyella in Morgan Stanley Firm Has Customer Complaint

February 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on May 10, 2021.

Without admitting or denying the findings, Viyella consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into whether he participated in private securities transactions without providing prior written notice to his member firm.