The National Trial Lawyers
Super Lawyers
500 Leading Plaintiff Financial Lawyers Lawdragon 2026
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 Richard Stone (Stone), currently associated with Stifel, Nicolaus & Company, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Stone 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 $500,000.00 on March 24, 2025.

Claimants allege breach of fiduciary duty, negligence, fraud, breach of contract, violation of sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5, and violation of the Montana Securities Act.

Continue Reading

| by

Currently financial advisor Brian Gardiner (Gardiner), currently employed by brokerage firm Vanderbilt Securities, 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 pending customer complaint with a damage request of $210,000.00 on March 19, 2025.

Claimaints allege violations of Common Law fraud, breach of fiduciary duty, negligent failure to supervise, negligence, regarding investments made in private placement offerings for First Capital, Hospitality Investors Trust and Cole Capital during 2017 to 2018.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ximena Goni (Goni), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Goni 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 $300,000.00 on March 14, 2025.

Claimant alleges she suffered losses because of an ill-timed liquidation of an investment and alleges claims for breach of fiduciary duty, fraud and negligence. From 11/2022 – 12/2022

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ted Boutis (Boutis), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Boutis 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 $1,000,000.00 on March 20, 2025.

The client alleged that beginning in 1999 the advisor misrepresented variable annuities and recommended an unsuitable life insurance policy. Client alleged further poor portfolio performance.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carla-ann Goedtke (Goedtke), currently associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Goedtke 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 $80,000.00 on March 20, 2025.

Claimant alleges unsuitable recommendation and sale of L-Share annuity in 2012.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Lesk (Lesk), previously associated with Cambridge Investment Research, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Lesk 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 $499,000.00 on March 19, 2025.

Customer alleges that an investment made in 2022 was unsuitable for the customer’s investment objectives and risk tolerance.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pamala Reilly (Reilly), currently associated with Planmember Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Reilly 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 $36,340.69 on March 31, 2025.

Client alleges that due to the mishandling of a transfer out request, they lost $36,340.69 due to market losses.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chun Elmejjad (Elmejjad), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Elmejjad 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 $25,000.00 on March 18, 2025.

Beneficiary alleges RR Elmejjad misappropriated funds in connection with a loan that the RR accepted from the client.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Karin (Karin), currently associated with Western International Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Karin 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 $75,000.00 on March 21, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Loesch (Loesch), currently associated with Newedge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Loesch 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 $179,000.00 on April 04, 2025.

Client alleges that the use of margin to purchase municipal bonds was not explained and should have been discontinued when interest rates began to rise in 2022

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

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