Selling Away

Broker Robert Turner in Stifel, Nicolaus & Company, Incorporated Firm Has Customer Complaint

September 23, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Robert Turner (Turner) 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 Turner was employed by Stifel, Nicolaus & Company, Incorporated at the time of the activity. If you have been a victim of Turner’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on January 27, 2023.

Without admitting or denying the findings, Turner consented to the sanction and to the entry of findings that he participated in private securities transactions without providing prior written notice to his member firm before participating in the sale of fixed annuities that were outside the scope of his employment with the firm. The findings stated that Turner marketed, recommended, and sold fixed annuities offered by an entity formed by his college friend and business acquaintance to customers of Turner’s firm, who collectively invested over $7.2 million in the entity. The entity fixed annuities were not, in fact, fixed annuities, but rather securities. The entity was not a licensed insurance company, nor was it licensed or authorized to sell fixed annuities at any time during the period when Turner sold the entity fixed annuities. Based on Turner’s representations and quarterly annuity statements that the entity sent to them, Turner’s customers believed they would be earning a fixed, guaranteed rate of return of between four percent and eight percent, compounded on a quarterly basis. Turner did not disclose his affiliation with his friend to any of his customers who invested in the entity fixed annuities. Further, Turner actively concealed from the firm his involvement in selling the fixed annuities, which he knew were not an approved firm product, by directing his friend to send copies of the entity quarterly annuity statements to his personal P.O. Box instead of his firm office. Turner also falsely attested on several firm compliance certifications that he understood and agreed to comply with the firm’s prohibition on selling away. In addition, one of Turner’s former firm customers sought to withdraw her entire investment from the entity, which the most recent annuity statement she received had led her to believe was valued at over $450,000. Turner’s friend died before the customer received any money from her investment in the entity. Following the friend’s death, those of Turner’s customers who invested in the entity lost most, if not the entirety, of their investments.

Broker James Couture in LPL Financial LLC Firm Has Customer Complaint

September 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 06, 2023.

Customer alleges misappropriation of funds between January 2011 and January 2020

There are Recent Customer Complaints with Broker Antoine Souma in Firm Insigneo Securities, LLC

September 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on February 21, 2023.

Without admitting or denying the findings, Souma consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with its investigation into his compliance with FINRA Rule 3280 concerning participation in private securities transactions. The findings stated that FINRA sent an additional request to Souma seeking information and documents in connection with an ongoing customer arbitration filed against him.

There are Recent Customer Complaints with Broker Cathie Joughin in Firm Ameriprise Financial Services, LLC

September 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2023.

Claimant alleges that on or about late 2019 and early 2020, his father fell victim to elder abuse and misappropriation by his Financial Advisor (FA).

Broker William Winchester in Cadaret, Grant & Co., INC. Firm Has Customer Complaint

September 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on April 06, 2023.

Without admitting or denying the findings, Winchester consented to the sanction and to the entry of findings that he borrowed more than $850,000 from his customers without notifying the member firm with which he was associated or obtaining the firm’s prior written approval. The findings stated that Winchester never disclosed to his firm that he had borrowed money from his customers. Winchester also falsely answered ‘no’ on annual questionnaires that asked, among other things, whether he had borrowed money from any customer. In addition, after one of Winchester’s customers passed away, he agreed to serve as a co-executor of the customer’s estate. While registered with FINRA, Winchester borrowed money from the estate. Winchester signed a promissory note to the beneficiary of the estate, who was also his customer, to establish repayment terms for the funds he had borrowed from the estate. At the time Winchester entered into this promissory note, the firm prohibited its registered representatives from borrowing from customers. At the time Winchester was terminated from the firm, he was in the process of repaying the beneficiary the amounts borrowed pursuant to the terms of an agreement. The findings also stated that Winchester engaged in an undisclosed outside business activity (OBA). Winchester received $45,000 in compensation for his services as co-executor of his customer’s estate. Winchester did not disclose to the firm his appointment as co-executor of his customer’s estate, and also failed to disclose that he was serving as co-executor of his customer’s estate when he associated with another firm. Winchester twice falsely represented on the firm’s compliance questionnaires that he was not, among other things, acting as an executor of any individual’s estate. The findings also included that Winchester entered into settlement agreements with customers without notifying the firm. Winchester did not disclose the promissory note that he signed to the beneficiary of his deceased customer’s estate to the firm and also did not disclose a settlement agreement with one of his customers relating to $380,000 he had borrowed from the customer.

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.