Articles Posted in Structured Product

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Victor Furniss (Furniss), currently employed by Cetera Investment 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), Furniss’s most recent customer complaint alleges that Furniss 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 $100,000.00 on February 06, 2023.

Claimant alleges that their portfolio was overconcentrated in an unsuitable structured note and also that the risks and liquidity were misrepresented.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Brian Bates (Bates), 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), Bates’s most recent customer complaint alleges that Bates 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 $500,000.00 on February 13, 2023.

Claimants allege that their representative recommended unsuitable structured notes for their account. Activity period: November 2021 to September 2023.

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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 with a damage request of $326,341.61 on July 22, 2025.

Client claims rep invested her money in structured notes that were unsuitable

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Vanessa Sopke (Sopke), previously employed by Cetera Investment 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), Sopke’s most recent customer complaint alleges that Sopke 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 $5,000.00 on July 23, 2025.

The clients allege misrepresentation in the purchase of two structured products.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Michaelangelo Dooley (Dooley), 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), Dooley’s most recent customer complaint alleges that Dooley 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.

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

FINRA BrokerCheck shows a final customer complaint on September 30, 2022.

Without admitting or denying the findings, Sprouse consented to pay civil penalties and agrees to the entry of findings from the KSC Order. The findings indicate that from April 2017 until March 2018, Sprouse sold Purchase Agreements (PA), also known as structured cash flows, as an agent on behalf of Future Income Payments, LLC (FIP). At the time of sale, these PAs were not registered as securities under the KUSA as required.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jared Kaplan (Kaplan), previously employed by Newedge Securities, INC. 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), Kaplan’s most recent customer complaint alleges that Kaplan 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.

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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.

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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.

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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.

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