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

FINRA BrokerCheck shows a settled customer complaint on July 12, 2021.

Plaintiff alleges, inter alia, breach of duty and bad faith in connection with its investment banking relationship with Morgan Stanley. 2018-2020.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Miller (Miller), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Miller 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 $1,000,000.00 on July 06, 2021.

Time frame:June 2014 – June 2021\, Allegations: Claimant, widower and former opera singer, alleges FA recommended unsuitable concentration in gold, gold mining and silver, the use of a credit line for liquidity, and purchasing a long-term disability care insurance policy, which ultimately lapsed. Claimant alleges the FA received a commission from the policy.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Marinaccio (Marinaccio), previously associated with Worden Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marinaccio 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 $653,500.00 on July 07, 2021.

Failure to supervise and negligent supervision; between August 2017 and December 2019.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Sileo (Sileo), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sileo 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 July 08, 2021.

Unsuitability

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfredo Yanes (Yanes), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Yanes 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 July 08, 2021.

Unsuitability

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Sperring (Sperring), previously associated with Axa Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sperring 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 $40,000.00 on July 09, 2021.

Client alleges the RR potentially misappropriated funds in connection with the purchase of a CD investment.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rajvinder Budwal (Budwal), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Budwal 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 $100,001.00 on July 08, 2021.

Claimants allege the representative recommended an investment that was unsuitable.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Gill (Gill), previously associated with Ameriprise Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gill 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 $11,709.00 on July 12, 2021.

The client alleged her advisor(s) recommended she purchase and remain invested in an unsuitable real estate investment trust (REIT) from 2007 to the present.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Simon (Simon), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simon 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 $10,127.76 on July 09, 2021.

The client alleged the contract was unsuitable based upon needs, annual fees weren’t fully disclosed and the surrender schedule wasn’t shared.

Continue Reading

| by

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Chakos (Chakos), previously associated with Worden Capital Management LLC, has been subject to at least 2 disclosable events. These events include 2 customer complaints. Several of those complaints against Chakos  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $330,113.00 on July 08, 2021.

Churning and quantitative unsuitability; unauthorized trading; standards of commercial honor and principles of trade; and, breach of fiduciary contract. Alleged activity dates are December 2016 through late 2020, although only activity from October 2017 forward was margin sellouts

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