Selling Away

Broker George Amanatides in David Lerner Associates, INC. Firm Has Customer Complaint

April 11, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker George Amanatides (Amanatides) 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 Amanatides was employed by David Lerner Associates, INC. at the time of the activity. If you have been a victim of Amanatides’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 $150,000.00 on January 12, 2026.

George Amanatides: U4 – Energy 11 and Energy 12 purchases – unsuitability, misrepresentation and omission and breach of fiduciary duty. Timothy Cheriaparapil: U5 – Puerto Rico Bonds and SOAEX purchases – unsuitability, misrepresentation and omission and breach of fiduciary duty.\, Allegation period: May 18, 2004 the date of the first purchase of Puerto Rico Bonds to January 12, 2026, the date the SOC was received. \, The allegation do not include misappropriation, forgery, theft or conversion of funds or securities.

Broker Timothy Darnell in Bankers Life Securities, INC. Firm Has Customer Complaint

April 6, 2026 | by Staff Attorney

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 $575,000.00 on February 04, 2026.

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.

Broker T.j. Cheriaparampil in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

April 6, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker T.j. Cheriaparampil (Cheriaparampil) 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 Cheriaparampil was employed by Wells Fargo Clearing Services, LLC at the time of the activity. If you have been a victim of Cheriaparampil’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 $150,000.00 on February 04, 2026.

Timothy Cheriaparampil: U5 – Puerto Rico Bonds and SOAEX purchases – unsuitability, misrepresentation and omission and breach of fiduciary duty. George Amanatides: U4 – Energy 11 and Energy 12 purchases – unsuitability, misrepresentation and omission and breach of fiduciary duty. Allegation period: May 18, 2004 the date of the first purchase of Puerto Rico Bonds to January 12, 2026, the date the SOC was received. Product code: 09 – Mutual Funds (SOAEX) The allegation do not include misappropriation, forgery, theft or conversion of funds or securities.

There are Recent Customer Complaints with Broker Joseph Lauzon in Firm LPL Financial LLC

April 6, 2026 | by Staff Attorney

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 $165,000.00 on February 04, 2026.

Allegations of misappropriation and unauthorized disbursements from a client account

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.