Selling Away

Broker Dana Vietor in Cfd Investments, INC. Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Dana Vietor (Vietor) 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 Vietor was employed by Cfd Investments, INC. at the time of the activity. If you have been a victim of Vietor’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 $240,000.00 on May 12, 2023.

Sale of private securities transaction not authorized by the firm, breach of fiduciary duty, negligence, fraud, misrepresentation, Iowa securities laws, breach of contract, failure to supervise, and respondeat Superior.

Broker William Bredt in Raymond James & Associates, INC. Firm Has Customer Complaint

September 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 16, 2025.

Client alleges he relied on representations that failed to account for the alleged weakness and structural defects in private investment.

Broker Jeremiah Roman in PFS Investments INC. Firm Has Customer Complaint

August 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on July 18, 2023.

Without admitting or denying the findings, Roman consented to the sanctions and to the entry of findings that he personally invested a total of $44,100 pursuant to eight agreements with a merchant cash advance company without providing prior written notice to, or obtaining written approval from, his member firm for his private securities transactions. The findings stated that Roman’s agreements with the company provided that Roman would receive a monthly payment in a specified amount in return for each investment. In addition, Roman did not make the personal securities investments through his firm. The findings also stated that Roman solicited a firm customer to invest a total of $150,000 pursuant to three agreements with the company, without providing prior written notice to his firm. Roman introduced the customer to the company, provided the customer with marketing materials prepared by the company, and facilitated the exchange of information between the customer and the company. Roman did not disclose his participation in the customer’s investments to his firm, even though he was advised by its compliance hotline to disclose his merchant cash advance company-related activities for review. Furthermore, Roman falsely attested on an annual compliance questionnaire that he had not participated in any private securities transactions that had not been approved by the firm.

Broker Derek Copeland in LPL Financial LLC Firm Has Customer Complaint

August 25, 2025 | by Staff Attorney

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

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

Without admitting or denying the findings, Copeland consented to the sanction and to the entry of findings that he participated in 74 private securities transactions without providing prior written notice to his member firm. The findings stated that the transactions involved 19 different securities and 27 individuals, including 22 who were customers of Copeland’s firm, who collectively invested nearly $11 million. Copeland received at least $173,000 in compensation, including through management, consulting, and recommendation fees. The findings also stated that Copeland communicated about securities-related business, including securities offered through his firm and private securities transactions, using communication channels not approved, captured, or maintained by his firm. Copeland falsely attested on firm compliance questionnaires that he only used approved and captured communication channels for communications relating to securities-related business. Nonetheless, Copeland exchanged over 2,250 communications with his firm colleagues, firm customers, other investors, and offering company partners using his private email addresses, text messages sent and received through his private mobile phone, and messages sent and received through online platform that his firm did not capture or maintain causing it to maintain incomplete books and records.

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

August 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 17, 2025.

Petitioner alleges misappropriation by assisting another party’s actions to gain control of assets in an Estate.

Broker Richard Ceffalio in LPL Financial LLC Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Richard Ceffalio (Ceffalio) 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 Ceffalio was employed by LPL Financial LLC at the time of the activity. If you have been a victim of Ceffalio’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 $3,000,000.00 on June 09, 2025.

Claimant alleges selling away, unauthorized, improper transfers, improper borrowing, breach of fiduciary duty, breach of duty of good faith and fair dealing, negligence and gross negligence, breach of the Illinois Negligent misrepresentation in connection with investments made. Activity period April 2020 through June of 2025.

Broker Leslie Jackson in Momentum Independent Network INC. Firm Has Customer Complaint

August 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on September 19, 2023.

Without admitting or denying the findings, Jackson consented to the sanction and to the entry of findings that he participated in private securities transactions totaling $1,975,000 without providing advance written notice to his member firm prior to engaging in these transactions. The findings stated that Jackson participated in the sale of promissory notes issued by entities purportedly engaged in a business that provided financing to construction companies. Jackson recommended the investments to five investors, including one family member and three firm customers, who ultimately purchased an aggregate $1,475,000 of the issuers’ promissory notes. Jackson also personally purchased notes totaling $500,000. Jackson participated in these investments by telling the investors about the notes, answering questions about the investments, helping the investors complete the subscription documents, and collecting the payments for the investments to provide to the issuers. Jackson received periodic payments from the issuers in amounts equal to 3% of each investment per year during their respective terms, paid monthly. In addition, Jackson falsely responded to questions about whether he had participated in private securities transactions on compliance questionnaires.

There are Recent Customer Complaints with Broker Keith Baron in Firm Equity Services, INC.

August 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on December 14, 2023.

Baron was named a respondent in a FINRA complaint alleging that he made material misrepresentations to investors, who are a married senior couple, in connection with his recommendation of Company A’s stock. The complaint alleges Baron failed to disclose to the couple that he was a consultant for Company A and had a financial stake in their investment as a result of his agreement with Company A. Baron later made additional material false statements to one of the investors in connection with a purported buyback of the couple’s shares of Company A. The complaint also alleges that Baron had an ongoing business relationship with Company A pursuant to a Strategic Consulting Services Agreement. Baron expected to receive compensation and, in 2016, in fact received $284,890 in compensation from Company A. Baron failed to provide prior written notice to his member firm concerning his business relationship with Company A. The complaint further alleges that while still associated with his firm, Baron participated in private securities transactions by recommending and facilitating the couples purchases of 4,348,000 shares of Company A’s common stock for $359,806.16. These transactions were done away from Baron’s firm and were outside the regular course or scope of Baron’s employment. Baron did not provide written notice to his firm of his role in the sale of Company A’s common stock to the couple prior to participating in those securities transactions. Baron also failed to obtain written authorization from his firm to participate in those securities transactions. In addition, the complaint alleges that Baron made false statements orally and in writing to compliance staff at his firm. On his annual certifications to the firm, Baron claimed not to have any undisclosed OBAs. When the couple submitted a complaint about Baron, he misrepresented to his firm the nature and extend of his involvement of the couples purchases of Company A’s stock. Moreover, the complaint alleges that Baron submitted false written statements to FINRA in response to a request for information. Baron provided false information regarding his involvement with the couple’s investment with Company A and misrepresented the nature and extent of his involvement with Company A.

Broker John Dougherty in LPL Financial LLC Firm Has Customer Complaint

August 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on December 01, 2023.

Without admitting or denying the findings, Dougherty consented to the sanction and to the entry of findings that he failed to provide information and documents requested by FINRA in connection to its examination into whether Dougherty engaged in undisclosed outside business activities and private securities transactions.

Broker James Maurer in Network 1 Financial Securities INC. Firm Has Customer Complaint

August 6, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker James Maurer (Maurer) 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 Maurer was employed by Network 1 Financial Securities INC. at the time of the activity. If you have been a victim of Maurer’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 $50,000.00 on April 09, 2025.

Breach of Fiduciary Duty, Unsuitable Recommendations, Misappropriation of Funds