Articles Posted in Selling Away

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Baron Willis (Willis) 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 Willis was employed by Chelsea Financial Services at the time of the activity.  If you have been a victim of Willis’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 $23,979.19  on March 20, 2020.

Rep engaged in selling away without the firm’s authorization and investment became worthless

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

FINRA BrokerCheck shows a settled customer complaint on April 16, 2020.

Claimants allege FA sold them private securities that were unsuitable investments

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Curtis Luckman (Luckman) 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 Luckman was employed by Osaic Wealth, INC. at the time of the activity.  If you have been a victim of Luckman’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 $5,000.00 on January 28, 2026.

Claimants allege that since at least 2012 financial professional unlawfully solicited investments in promissory notes sold by two private investment funds, the Income Advantage Fund LLC I and Income Advantage Fund LLC II, both of which he is alleged to have fraudulently managed and used to misappropriate investor funds.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker John Mcarthur (Mcarthur) 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 Mcarthur was employed by Saxony Securities, INC. at the time of the activity.  If you have been a victim of Mcarthur’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 $1,000,000.00 on April 21, 2026.

The claimant alleges that, beginning in or around November 2016 and continuing for several years thereafter, the representative, through his Registered Investment Adviser, recommended private securities that were unsuitable and misrepresented certain aspects of those recommendations.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Gustavo Dolfino (Dolfino) 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 Dolfino was employed by Silver Leaf Partners, LLC at the time of the activity.  If you have been a victim of Dolfino’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 $800,000.00 on December 05, 2025.

Claimants allege investment losses in Student Global that resulted from Mr. Dolfino engaging is “selling away” activity which resulted in Claimants losses.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Joseph Lauzon (Lauzon) 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 Lauzon was employed by LPL Financial LLC at the time of the activity.  If you have been a victim of Lauzon’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 $250,000.00 on February 11, 2026.

Aallegations of misappropriation and unauthorized disbursements from a client account

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

FINRA BrokerCheck shows a pending customer complaint on March 31, 2026.

Client/Ex-spouse alleges misappropriation involving activity in jointly held and individual accounts from February 2022 through March 2026.

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

FINRA BrokerCheck shows a final customer complaint on December 23, 2020.

The Wisconsin Office of the Commissioner of Insurance (‘OCI’) denied Mr. Jobin’s application for permanent individual intermediary agent’s insurance license based on Mr. Jobin’s ‘Yes’ answer to the question ‘Are you currently a party to, or have you ever been found liable in, any lawsuit, arbitrations, or mediation proceeding involving allegations of fraud, misappropriation or conversion of funds, misrepresentation or breach of fiduciary duty?’

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker David Randall (Randall) 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 Randall was employed by UBS Financial Services INC. at the time of the activity.  If you have been a victim of Randall’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 $152,395.05 on March 24, 2026.

The client alleges misappropriation of funds from an IRA Rollover in 2020.

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

FINRA BrokerCheck shows a settled customer complaint on April 16, 2020.

Claimants allege FA sold them private securities that were unsuitable investments

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