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 Daniel Steele (Steele), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Steele recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on July 31, 2023.

The Personal Representative (“Executor”) of a deceased client alleged that, in 2015, certain features of rate-linked Certificate of Deposits (“CDs”) were not disclosed, and further alleges the CDs were not suitable for the purchasers.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on July 31, 2023.

Plaintiffs allege, among other things, that they were misled into purchasing variable annuities and insurance after liquidating mutual funds at a prior firm. They also allege that the recommended variable annuity purchased in April 2021 was inappropriate for their needs.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Carrizal (Carrizal), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carrizal 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 $37,036.00 on July 26, 2023.

Client  alleges unsuitable investment recommendations. Activity dates January 2020 to February 2023.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gus Mask (Mask), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Mask 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 $150,000.00 on July 27, 2023.

The Statement of Claim alleges the financial professional recommended a complex, alternative investment without regard for the impact it might have on the client.

Continue Reading

| by

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Darien Bonney (Bonney) 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 Bonney was employed by MML Investors Services, LLC at the time of the activity.  If you have been a victim of Bonney’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 $325,000.00 on July 26, 2023.

The Claimants allege that in 2021, rep sold them two promissory notes that offered guaranteed returns, which would be protected, and that wouldn’t be subject to stock market volatility, however, their full investments haven’t been returned and only a portion of the interest was paid.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Dukes (Dukes), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dukes 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 $25,000.00 on August 02, 2023.

Unsuitability, Breach of fiduciary duty, Negligence and Negligent Misrepresentation, Breach of Contract, Failure to Supervise, and Violation of Reg BI

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $54,000.00 on July 28, 2023.

Complaint is alleging suitability, breach of fiduciary duty, and churning, relating to investments made in 2014 and 2022.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Walls (Walls), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Walls 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 $60,000.00 on July 26, 2023.

Trustee complained that the financial advisor sold securities in a discretionary account after having been instructed not to do so. (10/17/2022-8/15/2023)

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rick Smith (Smith), currently associated with State Farm Vp Management Corp., 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 with a damage request of $296.80 on July 26, 2023.

Theft complaint – Customer had an auto policy & his ex-wife called to change the address but not the payment info which was Brad’s credit card.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Lance (Lance), currently associated with Advanced Advisor Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lance 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 $653,187.00 on July 26, 2023.

Claimant alleges representative recommended they invest in an unsuitable Tenants-In-Common investment in 2007

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