Securities Lawyers Blog

There are Recent Customer Complaints with Broker Christopher Murray in Firm Mutual Securities, INC.

March 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 28, 2020.

Client retained an attorney to investigate a series of transactions that resulted in a loss. Client was concerned that the transactions were not properly authorized.

There are Recent Customer Complaints with Broker Henry Goodman in Firm Young America Capital, LLC

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Henry Goodman (Goodman), previously associated with Young America Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Goodman 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 $600,000.00 on September 28, 2020.

December 2018 Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

There are Recent Customer Complaints with Broker Scott Merrill in Firm UBS Financial Services INC.

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Merrill (Merrill), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Merrill 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 he was told his fee to managed his account would be \\u00bd percent, however, after review he is being charged \\u00be percent.

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.