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 Jeffrey Friedman (Friedman), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Friedman 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 $50,000.00 on February 23, 2021.

Claimant alleges that their request to liquidate was not made promptly

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hasbrouck (Hasbrouck), previously associated with Berthel, Fisher & Company Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hasbrouck recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 19, 2021.

The clients allege the investments they purchased from 2013-2015 were unsuitable, illiquid, and misrepresented to them by the representative. Additionally, the clients allege the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Nelson (Nelson), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nelson 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 $2,200,000.00 on February 16, 2021.

Statement of Claim alleges Claimants were sold multiple alternative investments based on material misrepresentations and omissions. Claimants allege they were over-concentrated in high-risk, high-commission and speculative alternative investments.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Wyson (Wyson), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Wyson 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 $80,000.00 on February 23, 2021.

Customer alleges purchases of various alternative investments were unsuitable.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Martellaro (Martellaro), previously associated with Crown Capital Securities, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Martellaro 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 $20,000.00 on February 18, 2021.

Customer alleges a liquidation placed for a highly appreciated stock was not authorized and that the alleged action caused the account to miss a stock dividend and subject the customer to significant capital gains.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeanpierre Ayala (Ayala), currently associated with I-bankers Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ayala 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 February 16, 2021.

Clients allege unsuitability

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vanessa Perez Fernandez (Perez Fernandez), currently associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perez Fernandez 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 $215,000.00 on February 23, 2021.

Claimant alleges that Financial Consultant investment recommendations to purchase and to hold P.R. Securities were unsuitable in light of the clients’ risk tolerance. Claimants also allege that recommendations made by the Financial Consultant were particularly egregious in light of Puerto Rico’s well known deteriorating financial condition.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Davis (Davis), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 February 17, 2021.

Customer alleges that representative provided poor advice on exchange of life insurance resulting in negative tax consequences for customer.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on February 17, 2021.

Client alleges he instructed his financial advisor to purchase 100 shares of Tesla stock on January 22, 2020, wants to be made whole for price and number of shares as there was a stock split in August 2020.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on February 17, 2021.

Client alleges the terms and benefits of his variable annuity (purchased in 2020) were not properly disclosed to him.

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