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 Michael Shonsey (Shonsey), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Shonsey 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 $300,000.00 on February 02, 2023.

Claimants allege they were recommended and overconcentrated in unsuitable investments

Continue Reading

| by

Currently financial advisor Keith Kelt (Kelt), currently employed by brokerage firm Kovack Securities INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint on February 02, 2023.

Clients allege that their purchase of REITs in 2013 & 2016 were unsuitable.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on February 13, 2023.

Claimant alleges failure to conduct reasonable due diligence and disclosure on NP Skyloft DST

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on February 08, 2023.

Claimants claim certain investments were unsuitable for them and that that risks of the investments were not revealed despite written disclosures. Claim also states a lack of supervision, and a failure to perform due diligence by broker dealer. Transactions at issue were Section 1031 Exchanges. Occurrences were in 2019 and 2020. Mr. Chernin is alleged to have been the registered representative involved. He is not named as a respondent.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lanita Nelson (Nelson), currently associated with PFS Investments 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 $20,944.09 on February 10, 2023.

Client alleged i misrepresented her variable annuity.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on February 13, 2023.

The complainant alleges that the Whole Life policy, issued on or about April 05, 2022, was misrepresented, and his Brokerage Account, which funded the Whole Life policy, was mismanaged by his registered representative, because of buying and selling securities that he was not advised on, and as a result, he has incurred a loss.

Continue Reading

| by

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

FINRA BrokerCheck shows a final customer complaint on February 08, 2023.

Respondent Jaroensabphayanont failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on February 08, 2023.

Breach of fiduciary duty, Negligence and Negligent misrepresentation, Breach of contract, Negligence-Violation of best interest

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on February 09, 2023.

Client alleges she instructed the financial advisor to put stop losses on her stock and he failed to do so.

Continue Reading

| by

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Adam Brown (Brown), previously associated with Westpark Capital, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Brown  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $351,987.66 on February 13, 2023.

Suitability and Churning, Breach of Fiduciary Duty, Breach of Contract, Unauthorized Trading, Negligence, Misrepresentation and Omission of Facts, Lost Opportunity, and Punitive Damages during the time period of August 2015 through March 2022

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