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 Edwin Egger (Egger), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Egger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 16, 2020.

Customer alleged that investment in etf’s was based on inaccurate and misleading information, that losses of over $18,000 had resulted, and requested reimbursement. Activity period – 11/15/19 to 4/6/20.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Principe (Principe), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Principe 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 $100,000.00 on May 18, 2020.

Time Frame: 2013-2015. Allegations include unsuitable use of margin and poor performance.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Rife (Rife), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rife 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 May 19, 2020.

The claimant alleges that recommendations to purchase two investments in his ira account were not in keeping with his needs and objectives.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Kissling (Kissling), previously associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kissling 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 $175,000.00 on May 18, 2020.

Claimants allege failure to conduct Due Diligence on several points, unsuitable recommendation, over concentration, misrepresentations and omissions in violation of FINRA regulations in the sale of alternative investments in 2012.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Baumner (Baumner), previously associated with Tradespot Markets INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Baumner 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 May 18, 2020.

Unsuitable investment recommendations, breach of regulatory requirements, breach of fiduciary duty, breach of contract,negligence and gross negligence

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on May 15, 2020.

The customer alleges unauthorized trading from March 11, 2020 until March 26, 2020.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Kolina (Kolina), previously associated with Bbva Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Kolina 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 $200,000.00 on May 15, 2020.

Customer purchased several variable and fixed annuities beginning in May, 2015. Customer claims that annuities are unsuitable due to her investment time horizon and liquidity needs.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Ogan (Ogan), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Ogan 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 May 14, 2020.

Claimant alleges unauthorized trading, negligence, breach of fiduciary duty and breach of contract in relation to the purchase of a UIT. From 1/22/2020 to 1/29/2020

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Stubbs (Stubbs), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stubbs 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 $16,000.00 on May 18, 2020.

Customer alleges unsuitable recommendation of advisory account and seeks reimbursement of fees.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Wojnowski (Wojnowski), currently associated with Paulson Investment Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wojnowski 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 $12,905.62 on May 15, 2020.

Mr. Miz alleges that he was unable to sell a security for a loss on December 30th and 31st, 2019 to offset gains for tax year 2019.

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