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 Mark Frommer (Frommer), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Frommer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 01, 2021.

Claimant alleges, inter alia, unsuitability with respect to investments and liquidity access line – 2013 through 2016.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Bremer (Bremer), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bremer 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 $40,000.00 on March 29, 2021.

Client alleges that an unauthorized transaction resulted in a loss of approximately $40,000.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tigran Areshian (Areshian), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Areshian 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 $10,000.00 on April 03, 2021.

Customer alleges suitability regarding managed account investment. Activity Dates 1.31.21-1.31.21

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lance Reinhardt (Reinhardt), previously associated with Axiom Capital Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Reinhardt 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 $660,000.00 on April 08, 2021.

Suitability

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lorenzo Delgado Bustamante (Delgado Bustamante), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Delgado Bustamante 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 $225,000.00 on April 05, 2021.

Period 2005-2013. Alleges concentration in pr securities, misrepresentation of suitability, fraud, breach of fid duty, negligence, violation finra rules, pr and federal law.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on April 05, 2021.

Time Frame: October 23, 2020\, What were the allegations against the individual? \, The trustee alleges her Financial Advisor dd not follow her instructions and her security was sold which caused tax implications. The alleged damages are estimated to be in excess of $5,000.00.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hathaway (Hathaway), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hathaway 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 $8,501.00 on April 07, 2021.

Customer alleges that during the approximate time period of June 2020 to February 2021, the Representative promised him that the money in his variable universal life insurance (VUL) policy was safe and the Customer would receive the VUL policy’s Accumulated Value upon a policy change to a term policy but no policy change occurred. The VUL policy lapsed due to non-payment of premium and the Customer did not receive any funds because the surrender charges exceeded the VUL policy’s Accumulated Value. The Customer is requesting a full refund of premiums paid into the VUL policy.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Fleming (Fleming), currently associated with Osaic Wealth, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fleming recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 05, 2021.

According to Hornor Townsend Kent\\u00e2? ?s disclosure, the client alleged that certain REIT investments recommended to them were not suitable, and resulted in losses.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lonnie Benzinger (Benzinger), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Benzinger 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 $146,000.00 on April 05, 2021.

Claimants allege that they were was recommended an unsuitable, high-commission, high-risk, and speculative alternative investments: FSKR, FSEnergy and CNL Healthcare Properties REIT.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on April 05, 2021.

Clients alleged that RR misrepresented annuities and sold them unsuitable products, despite being aware of their health problems.

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