Selling Away

Broker Justin Funakura in Farmers Financial Solutions, LLC Firm Has Customer Complaint

March 4, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Justin Funakura (Funakura) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Funakura was employed by Farmers Financial Solutions, LLC at the time of the activity. If you have been a victim of Funakura’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on February 20, 2025.

Without admitting or denying the findings, Funakura consented to the sanctions and to the entry of findings that he participated in private securities transactions by soliciting investors to invest a total of $120,000 in promissory notes issued by a company claiming to operate crypto asset mining and investment programs without prior written notice to, or approval from, his member firm. The findings stated that one of the investors was a customer of the firm. Funakura’s involvement in the investments included introducing investors to the investment opportunity, providing information regarding the funds offered by the company to investors, and facilitating their transactions. Funakura received $4,000 as a commission for soliciting these investments. The company later defaulted on the notes. Subsequently, the State of Illinois Secretary of State, Securities Department initiated proceedings against the company and ultimately issued a Final Order of Prohibition, finding, among other things, that the company and related individuals committed fraud in the offer and sale of securities. In addition, on annual compliance questionnaires, Funakura falsely answered ‘no’ to questions asking whether he had engaged in private securities transactions or received compensation for transactions outside of the firm.

Broker Hamish Grason in UBS Financial Services Inc. Firm Has Customer Complaint

March 1, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Hamish Grason (Grason) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Grason was employed by UBS Financial Services Inc. at the time of the activity. If you have been a victim of Grason’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on October 30, 2024.

Time Frame: October 28th 2024 \, \, What were the allegations against the individual? The client alleges misappropriation of funds.

Broker James Stockton in Dempsey Lord Smith, LLC Firm Has Customer Complaint

February 28, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker James Stockton (Stockton) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Stockton was employed by Dempsey Lord Smith, LLC at the time of the activity. If you have been a victim of Stockton’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on November 06, 2024.

Without admitting or denying the findings, Stockton consented to the sanctions and to the entry of findings that he invested $1,430,000 through private securities transactions and did not provide advance written notice to his member firm to engage in these transactions. The findings stated that Stockton did not make these investments through his firm as they were not securities offered by the firm, and the transactions did not involve firm customers. Stockton also falsely responded to a question about whether he had participated in private securities transactions without prior written approval on a firm compliance questionnaire.

Broker Mitchell Rock in Ameriprise Financial Services, LLC Firm Has Customer Complaint

February 28, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Mitchell Rock (Rock) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Rock was employed by Ameriprise Financial Services, LLC at the time of the activity. If you have been a victim of Rock’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,000,000.00 on October 31, 2024.

Claimant alleges that Respondent Rock participated in a private securities transaction without providing written notice to his firm about his role in the sale of shares of Facebank to Claimant on behalf of John Textor, the issuer.

There are Recent Customer Complaints with Broker Jordan Allen in Firm Fidelity Brokerage Services LLC

February 27, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Jordan Allen (Allen) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Allen was employed by Fidelity Brokerage Services LLC at the time of the activity. If you have been a victim of Allen’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on November 08, 2024.

Without admitting or denying the findings, Allen consented to the sanctions and to the entry of findings that he participated in private securities transactions by placing trades in a customer’s account held at another member firm, without providing notice to his member firm. The findings stated that Allen and the customer had a personal relationship, and the customer provided Allen with his log-in credentials to make transactions in the outside account. In total, Allen executed 1,507 trades in the account, including options transactions, totaling $726,585 in gross value. Allen did not receive compensation for the transactions. When the trading came to his firm’s attention, Allen initially misled the firm and stated that he had only been conducting paper trades in the account.

There are Recent Customer Complaints with Broker Rudy Mejia in Firm Estrada Hinojosa & Company, Inc.

February 27, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Rudy Mejia (Mejia) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Mejia was employed by Estrada Hinojosa & Company, Inc. at the time of the activity. If you have been a victim of Mejia’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on November 11, 2024.

Without admitting or denying the findings, Mejia consented to the sanctions and to the entry of findings that he participated in private securities transactions without prior written notice to his member firm. The findings stated that Mejia co-founded a pooled investment fund with an options trading strategy as well a management company to serve as the fund’s general partner. Mejia purchased $100,000 of the fund’s limited partnership interests, which were securities. In addition, seven other investors purchased a total of $738,000 of the fund’s limited partnership interests. The investors were friends or family of Mejia or of the fund’s other co-founder and none were customers of his firm. Mejia’s firm did not provide approval for his investment or his participation in the private securities transactions. The findings also stated that Mejia opened outside brokerage accounts that he did not disclose to his firm. The investment fund and its general partner that Mejia founded each opened a brokerage account at a other than Mejia’s firm. Mejia controlled, and had a beneficial interest in, those two accounts. Mejia executed 304 transactions in the accounts while registered through his firm without its prior written consent and without notifying the executing firm of his association with a member firm.

There are Recent Customer Complaints with Broker James Etter in Firm Natalliance Securities, LLC

February 27, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker James Etter (Etter) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Etter was employed by Natalliance Securities, LLC at the time of the activity. If you have been a victim of Etter’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on November 12, 2024.

Without admitting or denying the findings, Etter consented to the sanctions and to the entry of findings that he participated in private securities transactions that raised $110,000 from investors without prior disclosure to his member firm. The findings stated that Etter solicited investments in an entity he founded and controlled, answered questions about the investments, and collected investment paperwork and investment funds. The investors were not customers of Etter’s firm and later received their funds back. The findings also stated that Etter participated in an undisclosed OBA without disclosing the activity in writing and obtaining his firms approval. Etter provided business development and due diligence services to a solar equipment company and received approximately $66,000 in compensation for that work.

There are Recent Customer Complaints with Broker Rajesh Markan in Firm Hilltop Securities Inc.

February 24, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Rajesh Markan (Markan) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Markan was employed by Hilltop Securities Inc. at the time of the activity. If you have been a victim of Markan’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on November 25, 2024.

Client alleges that she was solicited by her Financial Advisor to invest in an outside investment that was fraudulent. She also alleges misappropriation of funds.

There are Recent Customer Complaints with Broker Matthew Higgins in Firm Barclays Capital Inc.

February 23, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Matthew Higgins (Higgins) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Higgins was employed by Barclays Capital Inc. at the time of the activity. If you have been a victim of Higgins’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on December 03, 2024.

Without admitting or denying the findings, Higgins consented to the sanctions and to the entry of findings that he participated in private securities transactions without providing prior written notice to his member firm. The findings stated that Higgins participated in private securities transactions by soliciting two investors to invest a total of $150,000 in partnership interests issued by a crypto asset investment fund he co-founded. In addition, Higgins solicited one of those investors and an additional investor to invest $200,000 in promissory notes issued by a crypto asset mining company he co-founded. Higgins introduced the investment opportunities to the investors, answered their questions about the fund or company, sent the investors the offering documents, and facilitated the transactions. Higgins did not receive any commissions for soliciting these transactions or any compensation in connection with the investment fund or the crypto asset mining company. None of the investors were customers of the firm.

There are Recent Customer Complaints with Broker Isaiah Williams in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

February 22, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Isaiah Williams (Williams) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Williams was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated at the time of the activity. If you have been a victim of Williams’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint on December 05, 2024.

Client alleges misappropriation, unsuitable asset allocation strategy, misrepresentations and an improper outside business activity.