Securities Lawyers Blog

Broker Paul Disantis in Securian Financial Services, INC. Firm Has Customer Complaint

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Disantis (Disantis), previously associated with Securian Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Disantis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on September 24, 2020.

Client alleges rep misrepresented policy at the time of sale in 11/2018.

Broker Michael Bahary in Hilltop Securities INC. Firm Has Customer Complaint

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Bahary (Bahary), previously associated with Hilltop Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Bahary recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint with a damage request of $25,000.00 on September 23, 2020.

Customer alleges that representative failed to follow instructions with respect to the disclosure of account transactional information, failed to follow instructions from an account trustee.

Broker Burton Halpert in Morgan Stanley Firm Has Customer Complaint

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Burton Halpert (Halpert), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Halpert recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,000,000.00 on September 29, 2020.

Claimants allege, inter alia, unsuitability with respect to investments in accounts – Jan, 2014 – Dec, 2019

Adam Gana Named to the Lawdragon 500 Leading Plaintiff Financial Lawyers List

March 27, 2026 | by Staff Attorney

Adam Gana, Managing Partner of Gana Weinstein LLP, has been named to the 2026 Lawdragon 500 Leading Plaintiff Financial Lawyers, a recognition that highlights leading attorneys nationwide who represent plaintiffs in complex financial and securities matters.

This distinction reflects both the scale and impact of Gana’s work on behalf of investors. Over the course of his career, Gana has handled thousands of securities cases and helped recover hundreds of millions of dollars for clients harmed by broker misconduct, unsuitable investment recommendations, and failures of supervision by financial institutions. His practice focuses on representing investors in FINRA arbitration and related litigation, with an emphasis on complex and often opaque investment products.

The Lawdragon 500 selection process is based on journalistic research, peer input, and evaluation of an attorney’s track record and influence within their field. Inclusion on the list is reserved for practitioners who have demonstrated sustained excellence and leadership in plaintiff side financial litigation. In Gana’s case, that recognition is grounded in years of advocacy on behalf of retail investors facing significant financial losses.

There are Recent Customer Complaints with Broker Jesse Raines in Firm Cetera Wealth Services, LLC

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jesse Raines (Raines), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Raines recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on October 05, 2020.

Clients allege they were not told about the surrender charges and the tax liability they would incur when they surrendered their contract in August 2020.

Broker Jenna Kang in Axa Advisors, LLC Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jenna Kang (Kang), previously associated with Axa Advisors, LLC, has at least 9 disclosable events. These events include 8 customer complaints, one regulatory event, alleging that Kang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 08, 2020.

Without admitting or denying the findings, Kang consented to the sanction and to the entry of findings that she refused to produce the information and documents requested by FINRA in connection with its investigation into whether Kang had signed customer signatures on her member firm’s documents.

Broker Derek Ghiotto in Pnc Wealth Management LLC Firm Has Customer Complaint

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Ghiotto (Ghiotto), currently associated with Pnc Wealth Management LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ghiotto recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $60,000.00 on October 07, 2020.

Client alleges breach of fiduciary duty and contract related to a managed account asset allocation change that occurred on, or about March 17, 2020.

There are Recent Customer Complaints with Broker Ronald Hoyle in Firm J.w. Cole Financial, INC.

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Hoyle (Hoyle), currently associated with J.w. Cole Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hoyle recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $400,000.00 on October 05, 2020.

Client alleges misrepresentation of investments sold by RR.

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

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcus Boggs (Boggs), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Boggs recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $23,317.98 on October 06, 2020.

Firm proactively reached out to client and presented possible fraudulent withdrawals from client’s account from February 2016 to July 2016.. Client confirmed charges in the amount of $23,317.98 were not authorized.

There are Recent Customer Complaints with Broker Matthew Mccoy in Firm Purshe Kaplan Sterling Investments

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Mccoy (Mccoy), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Mccoy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $150,000.00 on October 06, 2020.

Client alleges Unsuitable investment into GPB Automotive Portfolio, LP and GPB Capital Holdings II, purchased through Mr. McCoy’s Registered Investment Advisory firm, away from Purshe Kaplan Sterling Investments.