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Adam Gana

Item: Gana Weinstein LLP
Rating: 5
Author: Gloria K.

Managing Partner

agana@ganallp.com
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Direct Phone: 312-312-7395

3706 N Greenview Ave #100
Chicago, Illinois 60613

295 Madison Ave #705
New York, New York 10017

Biography

Adam Gana is the Managing Partner of Gana Weinstein LLP, a national securities arbitration and litigation firm representing investors harmed by broker misconduct and financial industry failures. With more than 20 years of experience, Mr. Gana has represented over 3,000 investors in state and federal courts and arbitration forums, including FINRA, AAA, JAMS, and the NFA, securing more than $750 million in recoveries for investors.

Mr. Gana's practice focuses on complex investor disputes, including unsuitable investment strategies, supervisory failures, fraud, overconcentration, churning, unauthorized trading, selling away, and other forms of broker-dealer and investment adviser misconduct. He serves as lead counsel in high-stakes matters and is known for his arbitration and trial advocacy and strategic approach to complex securities disputes.

He is widely recognized within the securities bar for his leadership and expertise. Mr. Gana has served as President of the Public Investors Advocate Bar Association (PIABA), the national association of attorneys who represent investors in disputes with the securities industry, the co-chair of the American Bar Association sub-committee for Securities Arbitration, and is frequently sought as a speaker at industry conferences and continuing legal education programs. He also serves as an arbitrator for FINRA and the American Arbitration Association.

In addition to his practice, Mr. Gana has taught securities arbitration as an adjunct professor at New York Law School and Chicago-Kent College of Law. He has published multiple peer-reviewed articles on securities arbitration and broker-dealer responsibilities and is frequently cited by leading legal and financial publications, including the New York Times, InvestmentNews, Business Insider, the Financial Times, The Wall Street Journal, and Financial Advisor Magazine. Mr. Gana has also appeared as a commentator on CNN, and on MSNBC, discussing investor protection and securities industry issues.

Gana Weinstein LLP has been recognized by Chambers and Partners in its Spotlight Guide for Securities Litigation in both New York and Chicago. Mr. Gana's individual professional honors include recognition as a National Law Journal Elite Trial Lawyers finalist for Business Torts (2026), inclusion on the InvestmentNews Hot List (2024 and 2025), Lawdragon 500 Leading Plaintiff Financial Lawyers, The National Trial Lawyers Top 100, and Super Lawyers for more than 12 years. He has also been recognized by the Global Directory of Who's Who as a Top Lawyer. Mr. Gana holds an AV® Preeminent™ rating from Martindale-Hubbell™, its highest peer rating for professional excellence and ethical standards.

Mr. Gana is admitted to practice in Illinois, New York, and Michigan, as well as before the U.S. Courts of Appeals for the Fourth, Sixth, Ninth, and Eleventh Circuits and the U.S. District Courts for the Southern and Eastern Districts of New York.

Illinois
New York
Michigan
Southern District of New York
Eastern District of New York
U.S. Court of Appeals Fourth Circuit
U.S. Court of Appeals Sixth Circuit
U.S. Court of Appeals Ninth Circuit
U.S. Court of Appeals Eleventh Circuit

Chambers Spotlight: Securities Litigation - New York and Illinois, 2026
The National Law Journal: Elite Trial Lawyer Finalist for Business Torts, 2026
InvestmentNews Hot List, 2024 and 2025
Global Directory of Who’s Who (Top Lawyer)
The National Trial Lawyers  – Top 100 Attorneys
Super Lawyer: New York Edition, 2011 – 2018 and 2024
Top Financial Professional in the US - InvestmentNews 2024
Martindale Hubble AV Preeminent Rated – the highest ranking awarded
The National Trial Lawyers – 40 Under 40 in New York
The American Registry, Rising Star, Securities Litigation Division
Dr. Max Reich Award for Excellence in Trial Advocacy

Brokerage Firms and Scams, 26 Wake Forest journal of Business & Intellectual Property Law (Winter 2026)
Arbitration of Investment Adviser Disputes is Unfair: How RIA Arbitration Fails Investors, 76 Case Western Law Review 1 (April 2025).
The Insurance Solution For Financial Advice Failures, 14 University of Michigan Business & Entrepreneurial Law Review (2025)
Broker-Dealer Responsibilities for Supervising the Outside Investment Advisory Services of Dually Registered Brokers, 22 UC Davis Bus. Law Journal 231 (2022)
Should Non-Attorneys Represent Parties in FINRA Arbitration for Compensation?, New York State Bar Journal, January 2015.
Blue Skies for America in the Securities Industry... Except for New York, 19 Fordham J. Corp. & Fin. L. 587 (2014)
The Inconsistent Dispute Resolution Process for Investment Advisers, ABA Newsletter, March 2013
Broker-Dealer Licensing: Understanding the Role and Limitations of the Series 6 License, Westlaw Journal, Securities Litigation and Regulation, Volume 17, Issue 7 (August 9, 2011), also available in the PIABA Law Journal.
The Tax Consequences of Investment Recommendations and Communications- Do Brokers Have a Duty?, Practicing Law Institute, Securities Arbitration, 2011
Quoted regularly in various publications, including Thompson Reuters, the Wall Street Journal, Investment News, and the New York Times.
Regular blogger for www.InvestmentWatchDog.com and www.seekingalpha.com

The Securities Industry Conference on Arbitration (SICA), Arbitrating Investment Advisor Disputes in Alternative Forums (2026)
Arbitration Tech Toolbox Webinar on Exhibits & Hearing Tech, Speaker, AAA-ICDR (2025)
Protecting Clients from Investment Scams: What Every Small Firm Needs to Know, Speaker, MyCLE (2025)
FINRA Hot Topics with FINRA Leadership, Moderator, PIABA (2025)
Updates In FINRA Arbitration with the Leaders of Dispute Resolution and the Ombuds Office, Moderator, PIABA Annual Meeting (2025)
Staying Ahead of the Curve: Hot Topics and Future Trends in FINRA Arbitration, Speaker, Securities Arbitration and Mediation PLI NYC (2025)
Mandatory Investment Advisory Arbitration, Testimony to the Investment Advisory Committee to the Securities Exchange Commission (2024)
Fraud Facilitation Scams, Moderator, Public Investors Arbitration Bar Association (PIABA) Annual Meeting (2024)
Updates in RIA Arbitration, Securities Industry Conference on Arbitration (2023-2024)
Investor Rights Clinic & Seminar, University of Miami, Guest Lecturer (2024)
Dealing with Rogue Arbitrations, Moderator, Public Investors Arbitration Bar Association (PIABA) Annual Meeting (2023)
The Effect of Court and Regulatory Decisions on Broker-Dealers, Speaker, Public Investors Arbitration Bar Association (PIABA) Annual Meeting (2020)
From the Defense Perspective: Analyzing the Defense Strategies in FINRA Cases, Moderator, Public Investors Arbitration Bar Association (PIABA) Annual Meeting (2019)
Trial Techniques in Registered Investment Advisory Cases, Moderator, Public Investors Arbitration Bar Association (PIABA) Annual Meeting (2018)
Regulation Best Interest and Its Effect on FINRA Arbitrations, Speaker, New York State Bar Association, Annual Meeting (2018)
How to Plead Damages in a FINRA Arbitration, Speaker, Public Investors Arbitration Bar Association (PIABA) Annual Meeting (2017)
Annuity Seminar, Moderator, Public Investors Arbitration Bar Association (PIABA) Annual Meeting (2015)
Securities Arbitration: An Overview, Sole Speaker for the Deal School Transactional Lunch Workshop, (2015)
Securities Round Table, American Bar Association - Commercial Litigation and Arbitration Section, Arbitrating FINRA Product Cases, (2015)
American Bar Association, Commercial Litigation and Arbitration Section, Securities Round Table, Speaker, Arbitrating FINRA Product Cases, (2015)
Securities Law Seminar, Speaker, 2013 Public Investors Arbitration Bar Association (PIABA) Meeting (2013)
How to Arbitrate a Product Specific Suitability Case, Public Investors Arbitration Bar Association (PIABA) Annual Meeting (2011)
Subprime Mortgage Crisis, New York Law School (2010)
Running a Successful Practice in New York, New York Law School (2010 & 2011)
Investor Rights Clinic & Seminar, New York Law School, Guest Lecturer (2012-2020)
Investor Rights Clinic & Seminar, Pace Law School, Guest Lecturer (2011 & 2012)

Napoli Bern Ripka Shkolnik, LLP

Sidley Austin, LLP

Law Clerk to the Honorable Alan C. Kay, U.S. District Court of Hawaii

Public Investor Arbitration Bar Association, Past President

American Bar Association, Co-Chair of the sub-committee for Securities Arbitration

FINRA Arbitrator

American Arbitration Association, Arbitrator

American Arbitration Association, Financial Advisory Services Committee, Member

American Bar Association, Alternative/Securities Dispute Resolution Committee, Member

New York Law School
Magna Cum Laude

University of Vermont
Bachelor of Arts

Mr. Gana has actively committed to various pro bono matters throughout his career. He has dedicated hundreds of pro bono hours to inMotion, Inc. an organization designed to help women victimized by domestic violence. In addition, Mr. Gana represented a death row inmate in Alabama throughout the appellate process. Mr. Gana also taught rhetoric and debate to high school students and regularly guest lectures at law schools throughout the country.

$7.8 Million Class Action Settlement

Successfully brought a class action against a global security analysis company in the Eastern District of New York.
$4.5 Million Federal Court Judgment

Represented a trading firm in a Ponzi scheme case in the Southern District of New York.
$4 Million Settlement

Secured settlement on behalf of multiple investors that opted out of a large class action against a large mutual fund. Settled after briefing a motion to dismiss in Colorado state court.
$2.9 Million Arbitration Award

Secured a FINRA award on behalf of a group of investors for selling away and fraud.

★★★★★

Thank you Adam and all your colleagues for the professionalism and diligence in the final settlement of our securities fraud case. When a past law firm group turned our case down, you and your firm took on the case and we thank you for the great outcome. We would highly recommend your firm. Gloria K.

I will never forget how much you helped me by winning my case! I never thought I would see any money from my investment. I admire the way you fight for everyday people against big companies. Thank you so much! Myra W.

Adam is an outstanding lawyer. I have worked on several cases with Adam and look forward to working with him again in the future. Rob D. - Co-Counsel.

If you want an attorney that is easy to talk to and genuinely cares about your legal situation, contact Adam Gana. He helped me settle a difficult contract dispute. When you work with Adam, he makes you feel as if you are his top priority. He will call you regularly to stay on top of the situation and submits all necessary legal documentation in a timely manner. His writing is excellent, his demeanor professional, and his work exceptional. Nancy N.

Adam helped me recover money from my broker when I thought all was lost. My house was about to be foreclosed, and I lost everything. Adam came in and saved my life. Jean C.

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