The National Trial Lawyers
Super Lawyers
500 Leading Plaintiff Financial Lawyers Lawdragon 2026
AVVO
Martindale-Hubbell
PIABA
American Arbitration Association ICDR Panel Member 2025
Top Financial Professionals in the US - Hot List
Justia Lawyer Rating for Adam Julien Gana

| by

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $21,082.48 on January 27, 2026.

Customer alleges representative’s failure to execute clear and confirmed trade instructions related to his account.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on January 29, 2026.

Arbitration claimants contend that registered representative failed adequately to supervise a different individual accused of misappropriating from insurance customers.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $163,360.00 on January 29, 2026.

Customer alleges unauthorized trading regarding a managed account investment. Activity dates June 2019 to January 2020.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on January 28, 2026.

Breach of fiduciary duty; Violation of FINRA/NYSE rules, breach of contract and negligence; Violation of securities laws and other securities laws, acts and regulations; fraud and fraudulent inducement to hold investment; unjust enrichment

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dominic Baldini (Baldini), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Baldini recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $643,509.94 on January 27, 2026.

The claim alleges control person liability with respect to an investment which it indicates occurred on 11/3/2021.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $122,719.00 on January 29, 2026.

Claimant alleges, inter alia, unauthorized trading relating to four brokered CD investments – Nov 2020 to Jun 2021

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on January 27, 2026.

Claimants allege breach of fiduciary duty, negligence, negligent supervision, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act, and Rule 10B-5 of the Securities and Exchange Commission, and violation of the California Corporations Code.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on January 28, 2026.

Claimant alleges, inter alia, unsuitability with respect to an investment strategy involving private equity and an LAL –  Aug 2015 to Feb 2019.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on January 27, 2026.

Claimant alleges that during an unspecified time period, the FA invested his assets in unsuitable investments.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on January 27, 2026.

Client’s attorney alleges, inter alia, that the client did not authorize the purchase of an alternative investment in his account  2025

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design