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 Jennifer Basey (Basey), currently associated with American Global Wealth Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Basey 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 $75,000.00 on September 05, 2023.

:  Customer alleges that registered representative made assurances that investments were safe and had customer invest in preferred stocks over par without customer’s consent, which resulted in losses.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Morgan Hill (Hill), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hill 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 September 08, 2023.

Client alleges registered representative recommended an unsuitable investment.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffery Akers (Akers), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Akers 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 $25,542.90 on September 08, 2023.

Unsuitable recommendation, was a client since 2004 and 2014 is when the purchase in question occurred.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Bratton (Bratton), currently associated with State Farm Vp Management Corp., has at least one disclosable event. These events include one customer complaint, alleging that Bratton 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 $600,000.00 on September 11, 2023.

State Farm advised policyholders to reduce coverage on their homeowners insurance and subsequently had a claim.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Shaw (Shaw), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shaw 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 September 05, 2023.

Client alleges that the recommended investments were unsuitable based upon his investment profile. Investments were made between 2017 and January 2022

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on September 07, 2023.

Customer complained that the financial advisor recommended securities not in her best interest, purchasing securities without authorization, and misrepresenting and failing to disclose facts. (4/17/2023-9/7/2023)

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Ignatowski (Ignatowski), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ignatowski 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 $75,000.00 on September 11, 2023.

Plaintiff alleges unsuitable recommendation and negligent misrepresentation in the sale of variable annuities.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darren Moran (Moran), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moran 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 $648,745.00 on September 13, 2023.

Claimant alleges in or around December 2017, her mother’s FA made unsuitable investments with regard to her Wells Fargo accounts.

Continue Reading

| by

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Robert Doyle (Doyle), currently associated with Axiom Capital Management, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Doyle  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 $1,000,000.00 on September 05, 2023.

Registered Representative took unauthorized discretion over the client’s account(s), excessive trading, suitability and fees.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ibrahim Kurtulus (Kurtulus), currently associated with Joseph Stone Capital L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Kurtulus 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 $875,000.00 on September 11, 2023.

UNSUITABLE TRADING\<char_lb_r>\, OVERCONCENTRATION\<char_lb_r>\, IMPROPER USE OF MARGIN

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