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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. His practice focuses on all aspects of securities arbitration, complex commercial and business litigation. As a seasoned trial lawyer with over 20 years of experience, Mr. Gana has represented over 3,000 investors in the state and federal trial and appellate courts, AAA, JAMS, NFA and FINRA.

Adam is recognized as an influential attorney in securities law. He has served as a part time adjunct professor for New York Law School in its clinical securities department and is the president of the Public Investor Advocates Bar Association - a national bar association of attorneys that represent investors throughout the United States. He has also published in multiple peer reviewed journals, spoken at dozens of conferences, and is regularly quoted in prominent securities publications including Investment News, Financial News, the Wall Street Journal, and Financial Advisor Magazine.

Adam was named in the New York Super Lawyers in 2024 and Rising Stars^® for eight straight years (an honor given to the top 5% of attorneys), ranked AV^® Preeminent™ by Martindale - Hubbell^™ (the highest honor offered), and ranked by the National Trial Lawyers as one of the Top 100 attorneys in the state 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

InvestmentNews Hot List, 2024
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

Arbitration of Investment Adviser Disputes is Unfair, *Accepted for publication in the Case Western Law Review (March 2025).
The Insurance Solution For Financial Advice Failures, *Accepted for publication in the University of Michigan Business & Entrepreneurial Law Review, (October 2024).
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

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, President

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

American Arbitration Association, Financial Advisory Services Committee, Member

FINRA Arbitrator

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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