Selling Away

Broker Jeffrey Higgins in Western International Securities, INC. Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Jeffrey Higgins (Higgins) 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 Higgins was employed by Western International Securities, INC. at the time of the activity. If you have been a victim of Higgins’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 $5,000.00 on September 23, 2025.

Misappropriation of funds.

Broker Marat Likhtenstein in Osaic Wealth, INC. Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Marat Likhtenstein (Likhtenstein) 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 Likhtenstein was employed by Osaic Wealth, INC. at the time of the activity. If you have been a victim of Likhtenstein’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 $155,000.00 on September 24, 2025.

Misappropriation alleged with regard to loan funds

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

October 27, 2025 | 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 $400,000.00 on September 30, 2025.

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

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

October 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 14, 2022.

The Customer alleges misappropriation of funds and unsuitable investments from 2009 until 2017.

Broker Michael Schmidt in Morgan Stanley Firm Has Customer Complaint

October 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 14, 2022.

Claimant alleged, inter alia, forgery and misappropriation of funds from inherited IRA account 2019-2022.

There are Recent Customer Complaints with Broker Zachary Nigh in Firm Thrivent Investment Management INC.

October 23, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Zachary Nigh (Nigh) 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 Nigh was employed by Thrivent Investment Management INC. at the time of the activity. If you have been a victim of Nigh’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 $340.23 on December 20, 2022.

Client signed an application for a fixed annuity in 11/9/2022. Financial Consultant (FC) was informed by the annuity company on 12/12/2022 the client needed to sign a new application. Client asked the FC to FedEx the new documents. The FC indicated the documents would be sent via FedEx that Friday, but for a variety of reasons, the documents were not sent until the following Tuesday. This additional delay caused the customer to become impatient, and on 12/20/2022, she requested the return of her initial investment, claiming the delays amounted to theft. FC promptly involved his manager, and the manager sent both an email and letter to the client on 12/22/2022 assuring her the FC already contacted the annuity company and the annuity company would be sending a check directly to her. The annuity company issued the client a check on 12/28/2022. In addition, the Firm agreed to provide the client with interest associated with the delays. The Firm determined there was no risk of misappropriation regarding this matter.

There are Recent Customer Complaints with Broker Maria Gasparro in Firm UBS Financial Services INC.

October 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 23, 2023.

Client alleges misappropriation of funds from January 2019 through May 2019.

There are Recent Customer Complaints with Broker Jose Gamez in Firm Raymond James Financial Services, INC.

October 8, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Jose Gamez (Gamez) 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 Gamez was employed by Raymond James Financial Services, INC. at the time of the activity. If you have been a victim of Gamez’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 $1,863,371.00 on August 29, 2025.

Client requests reimbursement of principal and lost market opportunity following FA’s alleged misappropriation of funds.

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

October 7, 2025 | 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 $1,000,000.00 on September 11, 2025.

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 Thomas Hampton in MML Investors Services, LLC Firm Has Customer Complaint

September 30, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Thomas Hampton (Hampton) 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 Hampton was employed by MML Investors Services, LLC at the time of the activity. If you have been a victim of Hampton’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 $100,000.00 on December 07, 2022.

Beginning in or around 2016, the Claimant alleges that the rep convinced the Claimant to entrust him with his investment funds and then took advantage of him as part of a plan involving financial planning, investment, and other services akin to selling away, which has harmed him financially.