Case Results

The attorneys at Gana LLP have the experience achieving the results our clients need.

$7.8 Million Class Action Settlement. Sterling v. Strategic Forecasting, Inc., 12-CV-00297. Successfully brought a class action against a global security analysis company in the Eastern District of New York.

$4.5 Million Federal Court Judgment. Capital World Trading, LLC v. Next Up Funding, Inc. et al., 11-CV-04136. 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. Jacobs v. Van Zandt, et al., FINRA Case No. 12-00156. Secured a FINRA award on behalf of a group of investors for claims related to selling away and fraud.

$2.62 Million Arbitration Award. Bruce Wilkerson v. Resource Horizons Group, LLC, FINRA No. 14-00904. Obtained a FINRA judgment against a broker-dealer for failing to supervise the fraudulent activity of its broker.

$2.5 Million Settlement. Represented an individual against a registered investment advisor for breach of their fiduciary duties in AAA arbitration. Claimant alleged that the firm engaged in self-dealing by making investment recommendations to the client in which the firm maintained a financial interest. For one such recommendation, the advisor contracted with the issuer to raise a specific sum of money from its advisory clients and received fees for its services while failing to disclose this arrangement to the firm’s clients. The case settled one day before the hearing was set to begin.

$1.5 Million Federal Court Judgment. Yadav, et al. v. Punj, et al., 11-CV-1500. Successfully brought a summary judgment motion on behalf of a family of investors against a commodities trader for fraud, breach of contract and unjust enrichment.

$1.3 Million Settlement. Represented a group of high-net worth individuals against a broker for the unlicensed sale of securities. Settled after three days of hearings in FINRA.

$1.25 Million Settlement. Represented former owners of a high-end textile company for breach of contract against the company’s current owners. Settled after the completion of discovery.

Defeated a Motion to Dismiss. Successfully defeated a motion to dismiss in a $56 million breach of contract claim on behalf of a pharmaceutical company.

Confidential Settlement. Secured multiple settlements after successfully representing two community banks in a mutual fund fraud litigation and arbitration. Settled after successfully arguing against the fund’s motion to dismiss.

$455,000 FINRA Award. Steinkirchner v. McGinn, Smith & Company, Inc., FINRA Case No. 08-04216. Obtained full out of pocket losses for a Florida resident. The panel found respondent engaged in self-dealing and that the firm failed to properly train and supervise claimant’s broker.

$400,000 FINRA Award. Nicholas Barnes v. Fidelity Brokerage Services, LLC, FINRA No. 14-00401. Obtained award on behalf of former Fidelity broker for lost wages. After hearing evidence that Fidelity failed to supervise the licensing requirements for their broker causing multiple state disciplinary actions against the broker and harming his career prospects the panel awarded damages.

$210,000 FINRA Award. Wyatt et al. v. Morgan Keegan and Company Inc., FINRA Case No. 08-04956. After hearing evidence of fraud and unsuitable investment strategy, the panel awarded claimant her full principal loss.

$196,204 AAA Award. TapImmune, Inc. v. Michael Gardner, ICDR Case No. 50-20-1300.  Successfully represented a clinical-stage immunotherapy company in a claim for fraudulent inducement and defended the company in a breach of contract claim.

$122,000 FINRA Award. Pasternack v. UBS Financial Services, FINRA Case No. 08-03293. Claimant asserted that UBS violated the Investment Act of 1940 and committed fraud among other violations. After the hearing the claimant was awarded two-thirds of her losses plus statutory interest for seven years increasing her recovery to approximately 122% of her losses.

$100,000 FINRA Award. Crouch et al. v. COR Clearing, et al., FINRA Case No. 15-00963. Claimants asserted that the Respondents were involved in a multi-national pump and dump scheme.

$90,000 FINRA Award. Carthew v. Gretchyn et al., FINRA Case No. 09-01178. After a full evidentiary hearing a panel awarded claimant approximately 85% of his losses. Claimant alleged that the respondent churned and excessively traded his account.

$32,000 FINRA Award. Root v. Ameriprise Financial Services, Inc. FINRA Number 15-00363. Secured an award of 100% of client's out of pocket losses based on the misrepresentations of a broker. Claimant alleged that the broker lied about the viability of a real estate investment trust (REIT).

Client Reviews
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"Adam is a superior litigator who competently balances his legal skill set with a pragmatic focus on the end goal. I recommend him and his firm highly."
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"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.
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"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.
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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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Gana LLP has the best attorneys period. They work hard, they work fast and I would recommend them to anyone. They are like family. Liz N.