Adam Gana, managing partner of Gana Weinstein, joins Bruce to discuss a recent Finra arbitration decision overturned by a court in Georgia. They discuss the case itself, how Finra abitration works, and what the case means for Finra and for advisers.
Related Article: Judge rips Wells, Finra, in decision over arbitration claim
Guest Bio:
Adam Gana is the managing partner of Gana Weinstein. His practice focuses on all aspects of securities arbitration, complex commercial and business litigation. As a seasoned trial lawyer, Mr. Gana's experience includes litigation in both State and Federal Courts as well as in various alternative dispute resolution venues. As lead counsel, he has tried more than fifty cases to verdict before the state and federal trial and appellate courts, AAA, JAMS, NFA and FINRA and has served as lead counsel in hundreds more cases through mediation and direct negotiation.
Mr. Gana also serves as a part-time adjunct professor for New York Law School in its clinical securities department and as a board member of the Public Investor Advocates Bar Association.
Bruce this week speaks with Mark Goldberg, who has worked as a senior executive with Royal Alliance Associates, now Osaic, Carey Financial and Griffin Capital Securities about the current market for alternative investments, including private loan and BDC funds.
Bruce Kelly talks to local Rhode Island reporter Eli Sherman about the former nontraded REIT czar, Nick Schorsch, and his group’s investments in beloved local eateries in the Ocean State.
Bruce Kelly speaks to longtime compliance expert Sander Ressler about elder fraud, artificial intelligence and GWG Holdings and what advisors and their broker-dealers and RIAs should be guarding against.
Bruce Kelly is joined this week by Jeff Vivacqua of Cambridge Investment Research, who breaks down the company's success as a recruiter of financial advisors.
