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 Emy Pham (Pham), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pham recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 08, 2022.

Customer alleges that he does not fully understand the benefit of his existing policies including two separate Variable Universal life insurance policies he purchased in April 2020 and December 2020, respectively, as well as a Variable Annuity purchased in September 2020.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on March 03, 2022.

Client alleged failure to follow instructions with respect to the investment of her funds in a new managed account strategy 2022

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Javier Lopez (Lopez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopez 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 March 09, 2022.

Time frame: November 15, 2011 to Present\, \, Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that his account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce (brett) Emmeluth (Emmeluth), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Emmeluth 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 March 07, 2022.

The claimant seeks damages in this arbitration from First Financial Equity Corporation based on unsuitable investments advice given by Bruce Palmer Emmeluth.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on March 08, 2022.

Client alleges advisor rebalanced funds within retail account instead of retirement account which resulted in realized long term gains. The activity occurred on December 14, 2021.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on March 07, 2022.

Client verbally complained that, although he advised the financial advisor he did not want to lose money, the investment has lost value.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on March 07, 2022.

The names customers filed an action entitled Choe v. Hermann in the Orange County Superior Court in 2020 against a prior broker and an insurer. The action involves two large life insurance policies sold by other insurance brokers in the past and used as collateral for a large premium finance loan arranged by one of the prior brokers. My involvement was limited to explaining to the Plaintiff and his advisors the options available for repayment of the premium of the loan, including surrender or sale of the life insurance policies. In February 2022, I was named in a cause of action for equitable indemnity in Defendant Ira Hermann's cross-complaint, which alleged my explanation of options contributed to Plaintiff's damages. When my E&O carrier denied coverage based upon an exclusion (which I believe was improper), Plaintiffs added me as a Doe defendant No. 1 to the Complaint as to the professional negligence cause of action only.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on March 08, 2022.

The customer alleges that the Financial Advisor was not acting in his best interest regarding the fee structure of the account.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Rodriguez (Rodriguez), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 March 08, 2022.

Clients alleged they were not made aware of tax implications incurred due to the advisor’s sell recommendations made in September 2021.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on March 08, 2022.

Claimant alleged, inter alia, failure to supervise with respect to Financial Advisor’s management of accounts – 2016 to 2020.

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