Structured Product

There are Recent Customer Complaints with Broker Ghislain Gouraige in Firm Newedge Securities, LLC

August 20, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Ghislain Gouraige (Gouraige), currently employed by Newedge Securities, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Gouraige’s most recent customer complaint alleges that Gouraige recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $26,000.00 on September 16, 2022.

Customer alleges unsuitable investment allocations to international growth and emerging markets stocks, lack of diversification in managed account structured note portfolio and misrepresentations regarding tax exempt municipal bond yields.

There are Recent Customer Complaints with Broker Edward Hill in Firm LPL Financial LLC

August 5, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Edward Hill (Hill), currently employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Hill’s most recent customer complaint alleges that Hill recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on July 01, 2025.

Claimant alleges his financial professional recommended an unsuitable investment in structured notes from April 2021 – July 2025.

There are Recent Customer Complaints with Broker Edward Hill in Firm LPL Financial LLC

July 30, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Edward Hill (Hill), currently employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Hill’s most recent customer complaint alleges that Hill recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on July 01, 2025.

Claimant alleges his financial professional recommended an unsuitable investment in structured notes from April 2021 – July 2025.

Broker Eric Ruthman in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

July 28, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Eric Ruthman (Ruthman), currently employed by Purshe Kaplan Sterling Investments has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Ruthman’s most recent customer complaint alleges that Ruthman recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint on April 23, 2025.

Claimants allege that during the time period December 2020 to November 2021, representative recommended unsuitable investments in structured products and breach of fiduciary duty.

There are Recent Customer Complaints with Broker Yilun Liu in Firm Morgan Stanley

July 27, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Yilun Liu (Liu), currently employed by Morgan Stanley has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Liu’s most recent customer complaint alleges that Liu recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $640,000.00 on May 01, 2025.

Claimant alleges, inter alia, that the options trading and structured product investment strategy recommended to him was not in his best interests – Dec 2024 to April 2025

Broker Jesse Webb in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 25, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jesse Webb (Webb), currently employed by Ameriprise Financial Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Webb’s most recent customer complaint alleges that Webb recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $18,000.00 on May 12, 2025.

The client alleged that the advisor invested them in a Cleveland Cliffs structured note that was not in their best interest as it carried too much risk by being tied to one equity.

There are Recent Customer Complaints with Broker John Bennett in Firm Wells Fargo Clearing Services, LLC

July 13, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker John Bennett (Bennett), currently employed by Wells Fargo Clearing Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Bennett’s most recent customer complaint alleges that Bennett recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $38,000.00 on August 14, 2023.

Customer alleged the structured note purchased was not liquid and therefore he was unable to take his required minimum distribution for 2022 and beyond.

Broker Edmund Iannelli in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 13, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Edmund Iannelli (Iannelli), currently employed by Ameriprise Financial Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Iannelli’s most recent customer complaint alleges that Iannelli recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,000.00 on August 14, 2023.

Claimant alleges that from 2019- 2023 her advisor recommended unsuitable investments, specifically structured products.

Broker Evan Lunsford in LPL Financial LLC Firm Has Customer Complaint

July 12, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Evan Lunsford (Lunsford), currently employed by LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Lunsford’s most recent customer complaint alleges that Lunsford recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint on August 18, 2023.

Customer alleges that during the time period 2018-2020, representative made investment recommendations in structured notes tied to the energy market that were unsuitable for claimant’s investment objectives.

There are Recent Customer Complaints with Broker Garth Lurvey in Firm Private Client Services, LLC

July 12, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Garth Lurvey (Lurvey), previously employed by Private Client Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Lurvey’s most recent customer complaint alleges that Lurvey recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint on August 21, 2023.

Customer alleges that during the time period 2017-2022, representative made unsuitable recommendations and untrue representations to the customer regarding a structured note.