The National Trial Lawyers
Super Lawyers
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 Bryant Caveness (Caveness), previously associated with Ameriprise Financial Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Caveness 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 $230,000.00 on November 17, 2020.

Claimants allege that Respondents placed them in precious metals and mining stocks, inverse and leveraged ETFs, and gold coins, and allege unsuitability, breach of fiduciary duty, and negligent supervision. Claimant seeks compensatory damages of $230,000.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Hoffmann (Hoffmann), previously associated with Thurston, Springer, Miller, Herd & Titak, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hoffmann 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 $100,000.00 on November 13, 2020.

Claimant alleges she purchased annuities that were unsuitable

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Pearcy (Pearcy), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pearcy 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 $554,000.00 on November 13, 2020.

The complainant’s allege that the variable universal life policy sold on January 14, 1999 was misrepresented, and the representative said they could expect an annual return of 10%. The policy has since collapsed, even though their annual premiums have been paid for 20 years.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Jacobson (Jacobson), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Jacobson 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 $32,000.00 on November 17, 2020.

Claimant alleges that investment recommendations made in an IRA account were unsuitable, speculative, and high-risk.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tanya Bliss (Bliss), currently associated with Voya Financial Partners, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bliss 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 November 18, 2020.

Arbitration claim filed against Cuso Financial

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on November 13, 2020.

Unsuitable investment recommendations, misrepresentation.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on November 13, 2020.

Claimant alleges that Respondents recommended him unsuitable securities, including Amira Nature Foods, that were overly concentrated in certain product types and/or industries.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Gendron (Gendron), previously associated with Metlife Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Gendron 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 $67,000.00 on November 16, 2020.

The complainant alleges, that the broker solicited him, to purchase several alternative investments on or about July & August 2013. The complainant states the products were presented as safe investments for retirement, which would provide a steady income stream, and a safety of principal. The complainant is alleging damages of approximately $67K.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Miller (Miller), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $4,000,000.00 on November 13, 2020.

Customer alleges that representative failed to supervise the activities of another representative alleged to have engaged in ‘fraudulent’ conduct. Activity period – 9/2011 to 12/2012.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Conley (Conley), currently associated with American Investors Company, has at least one disclosable event. These events include one customer complaint, alleging that Conley 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 $375,000.00 on November 16, 2020.

Clients alleging unsuitability pertaining to various alternative investments. Investments were purchased between September 2014 and January 2019.

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

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

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