The National Trial Lawyers
Super Lawyers
500 Leading Plaintiff Financial Lawyers Lawdragon 2026
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 Thomas Shumosic (Shumosic), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shumosic recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $17,000.00 on October 22, 2025.

Former client alleges that the representative failed to disclose the surrender charges and additional fees associated with an annuity.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on October 22, 2025.

Wrongful conduct; breach of fiduciary duty; breach of written contract; constructive fraud; fraud by misrepresentation and omission; violation of state and federal securities laws; FINRA rules of fair practice and Kansas Law

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $175,000.00 on October 23, 2025.

Claimant alleges that the RR recommended and misrepresented an unsuitable, high-risk investment and breached his fiduciary duty.

Continue Reading

| by

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Dennis Lerner (Lerner), previously associated with Cambridge Investment Research, INC., has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Lerner  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 on October 21, 2025.

Statement of Claim alleges an investment recommendation was made for the purpose of generating high commissions and fees and that Claimants were deprived of the ability to generate reasonable returns that would have been received in a diversified portfolio.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $34,975.97 on October 28, 2025.

The client alleges the Financial Advisor started investing in brokerage CDD's without her knowledge.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on October 28, 2025.

The client alleges that the Variable Universal Life Product he purchased in November 2021 was unsuitable.

Continue Reading

| by

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Timothy Darnell (Darnell) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Darnell was employed by Bankers Life Securities, INC. at the time of the activity.  If you have been a victim of Darnell’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $350,000.00 on October 24, 2025.

The arbitration alleges the RR made unsuitable recommendations, alleges breach of fiduciary duty, negligence, misrepresentation, and selling away related to an alleged Ponzi scheme with First Liberty Building & Loan, LLC

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $7,342.52 on October 29, 2025.

Customer alleged the Variable Universal Life (VUL) contract issued in August 2022 was not suitable

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on October 24, 2025.

Breach of contract and warranties, promissory estoppel; violation of state securities statutes; violation of Consumer Protection Statutes; vicarious liablity; claims under common law; trades placed sometime in 2020

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Whitaker (Whitaker), previously associated with Newbridge Securities Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Whitaker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 23, 2025.

Respondent Whitaker failed to respond to FINRA requests for information.

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

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