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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Berenguer (Berenguer), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Berenguer 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 $5,750.11 on April 04, 2025.

The client alleged that the advisor failed to follow their instructions to liquidate their qualified Active Portfolio account on March 21, 2025.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Towne (Towne), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Towne 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 $41,000.00 on April 09, 2025.

Reg BI – The client’s alleges the advisor did not act in the client’s best interest when recommending two positions in 2015 that did not perform well and should have kept the client apprised of the investments’ performance.

Previously financial advisor Vincent Bailey (Bailey), previously employed by brokerage firm Berthel, Fisher & Company Financial Services, INC. 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 on April 07, 2025.

The claimant alleges that the Firm and representative failed to make a suitable recommendation and over-concentrated claimant’s account in alternative investments and private placements in 2014 & 2015. The claimant further allege that the Firm and representative misrepresented the investments and induced the claimant to retain the investment and cause him to suffer a loss.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Takao (Takao), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Takao 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 $15,420.23 on April 07, 2025.

The customer alleges that the allocation of her funds within her variable annuity purchased in February 2025 was not in line with her wishes, and that she was misled on the amount she would receive if she exercised the “free-look” provision of her contact.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Hicks (Hicks), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hicks 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 $5,000.00 on April 07, 2025.

Client alleges the RR made misrepresentations in connection with variable annuities purchased in 2019 and 2020.

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

FINRA BrokerCheck shows a pending customer complaint on April 09, 2025.

Client alleges investment recommendations were not in their best interest from February 2022 to April 2022

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Clark (Clark), previously associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 $18,000.00 on April 14, 2025.

This matter is being reported consistent with finra rules pertaining to the reporting of certain written customer complaints. The company by this filing makes no allegations regarding the actions of the representative. Customer alleges the policy sold was not suitable for the customer’s age.

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

FINRA BrokerCheck shows a pending customer complaint on April 14, 2025.

Claimant alleges, inter alia, that the trade executed in his account was unauthorized – March 2024

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jordan Rider (Rider), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rider 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 $120,000.00 on April 11, 2025.

Reg BI – alleges that FA mismanaged accounts and failed to disclose risks of of investments, suitability concerns

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

FINRA BrokerCheck shows a pending customer complaint on April 16, 2025.

In or around 2024, the complainant alleges that she thought that she was signing a form to have the rep become the rep on her accounts and that she didn’t expect the rep to move her money. She states that the taxes related to these transactions weren’t discussed.

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