Selling Away

There are Recent Customer Complaints with Broker Nicholas Stovall in Firm Gradient Securities, LLC

July 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on July 20, 2023.

Respondent recommended promissory notes issued by Premier Global Corporation\<char_lb_r>\, (PGC), Premier Factoring, LLC (PF-LLC) and/or Premier Factoring Group, LLC (PFG-LLC)\<char_lb_r>\, to six of his Minnesota investment advisory clients between 2018 and 2021 without\<char_lb_r>\, reasonable grounds to believe that the recommendations were suitable in violation of\<char_lb_r>\, Minn. Rule 2876.5023, subp. 1(A) (2023). These Minnesota investors then purchased over $1.1M in promissory notes from PFLLC,\<char_lb_r>\, PGC, and/or PFG-LLC between March of 2018 and May of 2021, incurring\<char_lb_r>\, substantial if not total losses in violation of Minn. Stat. 80A.69 \\u00a7 502(a)(2) (2024). Respondent failed to report these activities and the Premier Transactions to his\<char_lb_r>\, investment firm in violation of the Minnesota Securities Act and other matters\<char_lb_r>\, entrusted to the commissioner in violation of Minn. Stat. 45.027, subd. 7(2) (2024).Respondent failed to report these activities and the Premier Transactions to his\<char_lb_r>\, investment firm in violation of the Minnesota Securities Act and other matters\<char_lb_r>\, entrusted to the commissioner in violation of Minn. Stat. 45.027, subd. 7(2) (2024).

There are Recent Customer Complaints with Broker Darien Bonney in Firm MML Investors Services, LLC

July 15, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Darien Bonney (Bonney) 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 Bonney was employed by MML Investors Services, LLC at the time of the activity. If you have been a victim of Bonney’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 $325,000.00 on July 26, 2023.

The Claimants allege that in 2021, rep sold them two promissory notes that offered guaranteed returns, which would be protected, and that wouldn’t be subject to stock market volatility, however, their full investments haven’t been returned and only a portion of the interest was paid.

Broker Thomas Logue in State Farm Vp Management Corp. Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Thomas Logue (Logue) 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 Logue was employed by State Farm Vp Management Corp. at the time of the activity. If you have been a victim of Logue’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 $56,000.00 on September 23, 2023.

Customer believes the agent put her in an investment not suited for her and misappropriation.

There are Recent Customer Complaints with Broker Edgar Kleydman in Firm MML Investors Services, LLC

July 7, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Edgar Kleydman (Kleydman) 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 Kleydman was employed by MML Investors Services, LLC at the time of the activity. If you have been a victim of Kleydman’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 $1,000,000.00 on September 26, 2023.

Claimant alleges RR engaged in ‘selling away‘ by selling Claimant investments not sold by the brokerage firm, and then allegedly misrepresented the return on investment and made a guarantee associated with Claimant’s funds.

There are Recent Customer Complaints with Broker Spencer Miller in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

June 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 07, 2023.

The claimant alleges misappropriation and unsuitable investments from 2015 to 2023.

Broker James Burton in Farmers Financial Solutions, LLC Firm Has Customer Complaint

June 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on April 24, 2025.

Without admitting or denying the findings, Burton consented to the sanction and to the entry of findings that he failed to provide documents requested by FINRA during its investigation into sales of promissory notes in a company claiming to offer investments in crypto asset funds and programs. The findings stated that Burton initially cooperated with FINRA’s investigation, but ultimately ceased doing so.

There are Recent Customer Complaints with Broker John Matson in Firm LPL Financial LLC

June 18, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker John Matson (Matson) 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 Matson was employed by LPL Financial LLC at the time of the activity. If you have been a victim of Matson’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 $948,212.71 on April 09, 2025.

Customer seeks to rescind a settlement agreement she entered in connection with her prior complaint concerning two promissory notes that a (previously) registered representative sold to her in February 2019, away from the firm. This complaint was disclosed on 2/21/2023 and settled on 1/10/2024 (Occurrence ID 2258299), however Claimant is attempting to seek further compensation from the allegations.

There are Recent Customer Complaints with Broker Dan Droeg in Firm United Planners’ Financial Services of America A Limited Partner

June 4, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Dan Droeg (Droeg) 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 Droeg was employed by United Planners’ Financial Services of America A Limited Partner at the time of the activity. If you have been a victim of Droeg’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 $980,000.00 on February 06, 2024.

Misappropriation of client funds. Alleged activity occurred July 2009 to April 2016.

There are Recent Customer Complaints with Broker Joey Miller in Firm Dai Securities, LLC

May 28, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Joey Miller (Miller) 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 Miller was employed by Dai Securities, LLC at the time of the activity. If you have been a victim of Miller’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 $329,000.00 on March 11, 2024.

Client alleges unsuitable recommendations 2018 and 2019.

There are Recent Customer Complaints with Broker Claud Haws in Firm Purshe Kaplan Sterling Investments

May 28, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Claud Haws (Haws) 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 Haws was employed by Purshe Kaplan Sterling Investments at the time of the activity. If you have been a victim of Haws’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 $4,472,093.00 on March 12, 2024.

Client alleges sales practice violation in connection with investment in private investment vehicle.