In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Investors might have sustained losses due to securities broker David Victor Janny [CRD: 1272727, Easton, Connecticut], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Janny has worked for Ameriprise Financial Services LLC since July 15, 2022, and previously worked for Morgan Stanley from November 21, 2012, to August 3, 2022. Investors are encouraged to continue reading to discover more about Janny’s client dispute disclosures.
Evidently, on October 23, 2024, an Ameriprise Financial Services client filed FINRA Arbitration No. 24-02292 about David Janny. Mainly, the client alleged that Janny made unsuitable recommendations between July 2022 and October 2023 involving speculative energy-sector and precious-metals stocks. For this reason, the client allegedly sustained damages. Therefore, the client requested $500,000 in compensation from Ameriprise Financial Services or Janny. The disclosure listed the arbitration as pending.
Also, a Morgan Stanley client contested Janny’s sales practices, according to a complaint dated February 12, 2024. Allegedly, Janny engaged in unauthorized trading by placing options trades in the client’s account during 2021 without the client’s permission. It appears that Janny allegedly caused the client to sustain damages. As a result, the client sought $500,000 in compensation from Morgan Stanley or Janny in this matter. Morgan Stanley denied the complaint on March 11, 2024.
Do you need guidance on any investment losses relating to David Janny? Get in touch with Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, our securities lawyers work on a contingency fee basis and advance all costs. Janny and the brokerage firms Janny worked for deny allegations of sales practice violations.
In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Centaurus Financial appears as the firm on a pending customer arbitration against Brett Ewing (CRD 2904608). The customer filed it on September 14, 2026. According to BrokerCheck, the customer alleges that Ewing recommended unsuitable, illiquid investments from February 2016 through February 2019. Ewing denies the allegations, and no arbitrator has ruled.
FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
Phone:
Fax: 1-954-760-6553
Email: [email protected]