Uncategorized

Broker Justin Sheik in First Citizens Investor Services, INC. Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Justin Sheik (Sheik), currently employed by First Citizens Investor Services, 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), Sheik’s most recent customer complaint alleges that Sheik 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 $13,700.00 on February 27, 2026.

Client alleges poor recommendation/poor advice regarding Structured Capital Strategies Plus 21 Series B investment. Activity dates 02/17/2026-02/17/2026

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

June 2, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Raymond Chera (Chera), currently employed by Wells Fargo Advisors Financial Network, 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), Chera’s most recent customer complaint alleges that Chera 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 10, 2026.

Claimant, by her attorney, alleges that an unnamed structured note investment recommended to Claimant was not in keeping with her investment objectives/risk tolerance, and that full disclosure regarding the investment was not made to her.

There are Recent Customer Complaints with Broker Michael Lader in Firm Ameriprise Financial Services, LLC

June 1, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Michael Lader (Lader), 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), Lader’s most recent customer complaint alleges that Lader 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 $100,000.00 on April 17, 2026.

Customer alleges that in December 2021 the registered representative recommended a 1035 exchange into a Variable Universal Life and the purchase of a variable long-term care product that were unsuitable, improperly structured, and intended to generate commissions. The allegations include failure to provide an illustrated rider and underfunding leading to declining value.

Adam Gana on the PRETEND Podcast: GPB Capital Fraud, Broker Misconduct, and What Investors Need to Know Now

March 27, 2026 | by Staff Attorney

Adam Gana, Managing Partner of Gana Weinstein LLP and former President of PIABA, was recently featured on the PRETEND Podcast with Javier Leiva, where he provided a detailed analysis of the GPB Capital fraud and its broader implications for investor protection.

The episode can be accessed here:

https://open.spotify.com/episode/3fxoD289aLXm52BZI6yCdi?si=32c7b857307641e0

Broker Elio Rey in Truist Investment Services, INC. Firm Has Customer Complaint

February 9, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Elio Rey (Rey), currently employed by Truist Investment Services, 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), Rey’s most recent customer complaint alleges that Rey 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 October 14, 2025.

Client alleged that prior to selling him a structured product linked to gold and silver, the FA did not educate him on the liquidity risk. Moreover, client indicated he requested to invest in gold and silver and not a structured note.

There are Recent Customer Complaints with Broker Patrick Cusick in Firm LPL Financial LLC

February 9, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Patrick Cusick (Cusick), 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), Cusick’s most recent customer complaint alleges that Cusick 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 $22,000.00 on September 18, 2025.

Claimant alleges misrepresentation associated with the purchase of a structured note which resulted in losses.

Broker Anderson Ariza in Northern Trust Securities, INC. Firm Has Customer Complaint

February 9, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Anderson Ariza (Ariza), currently employed by Northern Trust 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), Ariza’s most recent customer complaint alleges that Ariza 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 $60,000.00 on September 12, 2025.

Written complaint that trust was recommended an unsuitable security. Trustees do not feel it was adequately disclosed that the bond was a structured note or what the associated risks of this product were. Complaint is pending continued negotiations with the trustees.

There are Recent Customer Complaints with Broker Thomas Prentice in Firm RBC Capital Markets, LLC

February 7, 2026 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Thomas Prentice (Prentice), currently employed by RBC Capital Markets, 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), Prentice’s most recent customer complaint alleges that Prentice 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 $825,000.00 on November 26, 2025.

Alleged negligence, breach of Reg BI, breach of fiduciary duty, unsuitability, and breach of contract, related mainly to the client’s investment in structured notes.

How to Choose the Right Securities Arbitration Attorney

January 8, 2026 | by Staff Attorney

Overview

FINRA arbitration is not ordinary litigation. It is a specialized forum governed by its own rules, decided by industry-experienced arbitrators, and capable of producing consequences that follow a financial professional for the rest of their career. Selecting the right attorney in this setting is not simply about hiring a capable litigator; it is about finding counsel who understands the securities industry, the regulatory environment, and the long-term implications of arbitration outcomes.

For financial advisors facing customer claims, employment disputes, or regulatory investigations, the quality of legal representation can be the difference between career continuity and lasting professional damage. This guide explains what makes securities arbitration unique and how to identify an attorney equipped to protect both your immediate interests and your professional future.

Reflection on My Appearance on The Lead with Jake Tapper

December 3, 2025 | by Staff Attorney

Gana Weinstein’s managing partner, Adam Gana, recently joined Jake Tapper on The Lead with Jake Tapper, discussing the commutation by Donald Trump of the sentence of David Gentile, former CEO of GPB Capital. Gana Weinstein has represented dozens of victims of the GPB fraud, many of whom lost life savings — often hard-earned retirement funds — as a result of the misrepresentations and misconduct at GPB.

Why This Matters for Victims & Investor Protection

On air, Adam underscored that this commutation is not just a legal detail — it has real human consequences. For many of GPB’s investors, the conviction and sentencing of Gentile signified a moment of rare accountability in the white-collar financial space. That accountability offered a measure of justice, a sense that, when victims were harmed at scale, there were consequences. The commutation shakes that foundation.