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 Pineda (Pineda), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Pineda 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 August 15, 2022.

Mr. Pineda is not a party to the arbitration. Allegations pertain to an investment in an alternative product, intended to be a small component of a larger diversified portfolio. Unfortunately, the company that issued the investment has since filed Chapter 11 bankruptcy. As a result, the client is now alleging breach of fiduciary duty, negligence, negligent supervision, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities and Exchange Act, Rule 10b-5 of the Securities and Exchange Commission and violation of the Colorado Uniform Securities Act.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on August 08, 2022.

The client alleges that the registered representative was not acting in her best interest in December 2021 when he surrendered her investment accounts, creating a tax liability.

Continue Reading

| by

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $3,400,000.00 on August 09, 2022.

Barnes was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty, negligence, negligent supervision, breach of account agreements, and violations of the FINRA Code of Conduct, directly and indirectly in breach of contracts to follow the FINRA Code of Conduct.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Mcdonnell (Mcdonnell), previously associated with Tcfg Wealth Management, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Mcdonnell 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 $450,000.00 on August 09, 2022.

Mr. McDonnell and the [REDACTED] entered into a real estate agreement outside of the firm. The [REDACTED] allegedly invested in real estate in the UK with Mr. McDonnell’s mother, prior to becoming a client of TCFG.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Stephan (Stephan), currently associated with Wedbush Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Stephan 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 $874,000.00 on August 11, 2022.

Claimants’ allegations include Unsuitable Investment Recommendations, Breach of Fiduciary Duty and Negligent Misrepresentation on the part of James Stephan during the timeframe of June 2018 through March 2022.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Mathews (Mathews), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mathews 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 $17,279.44 on August 11, 2022.

Customer alleges misrepresentation with regard to the sale of a contingent interest note on January 26, 2021 by now deceased representative

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on August 15, 2022.

Customer alleges misrepresentation of a variable annuity issued 11/8/2007

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on August 16, 2022.

Time Frame: July 15, 2022\, \, What were the allegations against the individual? The client alleges his Financial Advisor did not follow instructions and failed to enter a trade. The alleged damages are in excess of $5,000.00.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Dunn (Dunn), previously associated with Ameriprise Financial Services, LLC, has at least 17 disclosable events. These events include 16 customer complaints, one regulatory event, alleging that Dunn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 17, 2022.

Without admitting or denying the findings, Dunn consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA. The findings stated that this matter originated from FINRA’s review of a Uniform Termination Notice for Securities Industry Registration (Form U5) filed by Dunn’s member firm disclosing that he had voluntarily resigned while under review for potential violation of company policy related to suitability, unauthorized trades and texting with clients.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on August 17, 2022.

Customer alleges that she was misled during the sale of a variable annuity purchased in September 2021.

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 © 2025, Gana Weinstein LLP
JUSTIA Law Firm Blog Design