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 Alma Faerber (Faerber), currently associated with Orchard Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Faerber 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 $1,000,000.00 on December 15, 2020.

Claimant alleges that Mr. Faerber recommended alternative investments that were unsuitable. Securities were purchased prior to 2017.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on December 16, 2020.

Clients’ representative complained that the financial advisor improperly recommended the sale of securities and repositioning of proceeds into a single mutual fund, resulting in a commission on the sale, long term capital gains taxes and a sales charge on the mutual fund. (4/16/2019).

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dominic Debruin (Debruin), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Debruin 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 $140,000.00 on December 22, 2020.

Claimants allege advisor recommended unsuitable stock and misapprpopriated funds. Activity period:  2013 to 2018 approximate.

Continue Reading

| by

Previously financial advisor Charles Kulch (Kulch), previously employed by brokerage firm Next Financial Group, INC. has been subject to at least 6 disclosable events. These events include 5 customer complaints, one regulatory event. 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 with a damage request of $5,000.00 on December 16, 2020.

Alleged unsuitable recommendation of investments in registered, non-traded real estate investment trusts (REITs) between September 2015 to June 2020.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gayle Lob (Lob), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lob 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 $65,000.00 on December 15, 2020.

Customer alleges unsuitable alternative investment recommendation. Activity Period:   5/2013 – 12/2020.

Continue Reading

| by

Currently financial advisor Cheryl Brown (Brown), currently employed by brokerage firm LPL Financial LLC 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 with a damage request of $450,000.00 on December 15, 2020.

Clients allege that Financial Professional misrepresented the risks associated with BDCs and that the investments were unsuitable. Date of Activity:12/21/10 to 11/16/20

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Julie Cohen (Cohen), previously associated with Mutual Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cohen 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 $500,000.00 on December 15, 2020.

Allegations include breach of contract, breach of duty, negligence, misrepresentation and omission, and violations of various FINRA rules and Federal and State laws. The plaintiffs had maintained independently managed accounts with Mutual Securities, Inc.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bernard Wolfe (Wolfe), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wolfe 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 $213,000.00 on December 18, 2020.

Claimant claims negligence, over-concentration, breach of fiduciary duty, breach of contract, material misrepresentations and omissions and failure to supervise in relation to the sale of FSKR in 2013.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Fasanella (Fasanella), previously associated with Cetera Advisors LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Fasanella 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 $400,000.00 on December 22, 2020.

Claimants allege that their registered representative recommended unsuitable investments.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Taylor (Taylor), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 February 01, 2021.

Customer alleged that the representative provided inaccurate information regarding the deadline for the exercise of certain options contracts.

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