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 Michael Vauble (Vauble), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vauble recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 27, 2025.

Policyowners allege that the RR recommended they purchase two fixed life insurance policies in October 2021 and told them the returns on investments from their existing Variable Annuities would assist to pay for the premiums.

Continue Reading

| by

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

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

Claimant alleges RR Swan made misrepresentations and failed to disclose fees in connection with a deferred-compensation plan and variable life insurance policies.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Haim Pekelis (Pekelis), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pekelis 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 $480,000.00  on January 27, 2025.

Time Frame: November 01, 2007 to June 25th, 2008\, What were the allegations against the individual? The trustee alleges the Financial Advisor failed to follow her instructions and placed the account in a risky investment.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Corrada (Corrada), previously associated with Center Street Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Corrada 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 $200,000.00  on January 23, 2025.

The claimant alleges unsuitable investments.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexandre Maltez (Maltez), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Maltez 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 $50,000.00  on February 04, 2025.

Breach of fiduciary duty, negligence, and reg bi

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Creede (Creede), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Creede 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 $100,000.00  on February 11, 2025.

Claimant alleges unsuitable recommendations into high-risk bonds.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chris Toomey (Toomey), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Toomey 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 $51,821.01  on February 11, 2025.

Customer alleges failure to disclose fees regarding a mutual fund investment. Activity dates 12/5/24 to 2/3/25.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Rotunno (Rotunno), currently associated with Spartan Capital Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rotunno 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 $251,250.00  on January 31, 2025.

Customer alleges 1 unsuitable product sold at Tigress Financial Partners in 2019. The other allegations occurred at different Firms not named in the Arbitration  The Arbitration also names National Securities Corporation.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on February 11, 2025.

Regarding a rollover to a managed account IRA made in 2017, the client alleges the rollover was not in his best interest.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on February 11, 2025.

Time frame: Unspecified. Claimant alleges unsuitable investments, breach of contract, breach of fiduciary duty and negligence.

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