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 Joshua Sievers (Sievers), currently associated with Bankers Life Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sievers 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 $36,325.56 on December 05, 2025.

Bankers Life Securities, Inc. (BLS) received a complaint on December 5, 2025. In the complaint, the client alleged that the terms of an annuity purchased through the firm's insurance affiliate, Bankers Life and Casualty Company (BLC),  were misrepresented, specifically regarding the surrender period and associated penalties. The client expressed dissatisfaction with the service and annuity performance and requested that the surrender penalty be waived. While the BLC annuities are not securities and were issued by BLC, the Firm is reporting this complaint because the annuities were funded by the recommendation to liquidate securities by a financial representative of the Firm.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Alezi (Alezi), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Alezi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 25, 2025.

The client alleges she loaned the Financial Advisor money for an investment strategy that would generate 30% returns. The client states the Financial Advisor has only made nominal repayments to the loan and she has not received a 30% return.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on November 26, 2025.

Client alleges misrepresentation with respect to ubti tax liability he incurred on master limited partnerships sold in his ira when he transferred them into morgan stanley 2024-2025

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Valenti (Valenti), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Valenti 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 $5,000.00 on November 30, 2025.

Customer alleges unauthorized trading of an equity position and misrepresentation of a variable universal life policy by the financial professionals.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on December 03, 2025.

Customers allege that variable annuities recommended to them in 2011 and 2021 were not adequately disclosed and were not suitable.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on December 04, 2025.

An institutional investor has filed a civil suit in Indiana State Court naming Mr. Dewey, a former investment fund he worked for, and others as defendants, in connection with losses caused by fraudulent conduct at one of the companies in which the fund invested. The plaintiff alleges that Mr. Dewey and the other defendants, among other things, knew about and failed to disclose the fraud to the investor. \,  \, Mr. Dewey, however, played no role in the investment at issue, as he had left the firm more than nine months before the fund's investment was made. In terms of timeline, Mr. Dewey was hired by the fund on 9/1/20 and he left the firm 6/23/21.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on November 25, 2025.

Compensatory damages; breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions;  violation of FINRA rules; violation of California Corporation Code Section 25401 and 25501 and federal securities laws and violation of Regulation Best Interest

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gihan Fernando (Fernando), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fernando 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 $67,000.00 on December 05, 2025.

Complainant alleges certain features of the product were misrepresented on or around February 2016.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mario Sclafani (Sclafani), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sclafani 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 $5,068.00 on December 02, 2025.

Customer alleges she was provided with the incorrect free look period on her annuity.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on December 05, 2025.

Claimants allege, inter alia, that FA recommended investment in an outside investment security that was not authorized by MS \\u2013 August  2018 to March 2025

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