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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tamara Glenn (Glenn), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Glenn 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 $35,000.00 on January 05, 2024.

Suitability of an alternative investment in HTI is disputed

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Tiedeberg (Tiedeberg), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tiedeberg 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 January 09, 2024.

Client alleged Registered Representative, along with other members of the client’s investment team, provided poor market and investment advice resulting in losses exceeding $200,000.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Sivley (Sivley), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sivley 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 January 09, 2024.

Client alleged Registered Representative provided poor market and investment advice resulting in losses exceeding $200,000.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Javier Reyes Colon (Reyes Colon), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Reyes Colon 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 $15,000,000.00 on January 08, 2024.

Client since 2009 alleges unsuitable Insurance Product

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

FINRA BrokerCheck shows a settled customer complaint on January 05, 2024.

Time frame: February 2018 – June 2020 Allegations: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

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

FINRA BrokerCheck shows a settled customer complaint on January 04, 2024.

Client verbally alleged unauthorized and excessive trading. – January 2020 – August 2023

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Seurer (Seurer), currently associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Seurer 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 $84,000.00 on January 05, 2024.

Almost 2 years following GWG Holdings Inc. filing for Chapter 11 bankruptcy protection, the customer is now alleging that her L bond purchases from November 2019 were unsuitable

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

FINRA BrokerCheck shows a settled customer complaint on January 08, 2024.

Time Frame: October 16th 2023 to October 23rd 2023\, What were the allegations against the individual? Client verbally alleged the instruction to tender his shares in his stock option account were not followed or actioned.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amir Navab (Navab), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Navab 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 $180,000.00 on January 09, 2024.

Various claims and damages pursuant to portfolio and investment accounts

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Connor (Connor), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Connor recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 04, 2024.

Customer alleges representative made unsuitable investment recommendations

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