Protecting Clients from Investment Scams: What Every Small Firm Needs to Know Now

Adam Gana | Gana Weinstein LLP

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. Mr. Gana is also an arbitrator for the American Arbitration Association and FINRA.

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.

David P. Meyer | Meyer Wilson Werning

David P. Meyer is one of the nation’s leading investment fraud attorneys and the founding principal of Meyer Wilson Werning, a nationally recognized law firm that represents individuals across the country in claims against their financial advisors. He gained national prominence after winning a record-setting $261 million jury verdict against Prudential Securities. David was 28 years old when he filed that case, only three years out of law school.

He is the author of The Investor Protector, an Amazon #1 Best Seller that exposes the hidden misconduct of financial advisors and empowers investors with tools to protect themselves. Over the course of his career, David has recovered hundreds of millions of dollars for his clients and is frequently invited to speak on financial advisor misconduct, elder financial exploitation, fiduciary standards, and the evolving regulatory landscape.

David has served as President of two major attorney bar associations: the Ohio Association for Justice (OAJ) and the Public Investors Advocate Bar Association (PIABA), the national bar association for lawyers representing investors in disputes with the securities industry.

Courtney M. Werning | Meyer Wilson Werning

Courtney Werning is a dedicated investment fraud attorney representing clients in complex disputes involving financial advisors, broker-dealers, and investment advisers. Her practice spans state and appellate courts as well as arbitration forums, with a strong record in cases involving fraud, Ponzi schemes, elder financial abuse, and unsuitable investments.

Courtney is known for her meticulous preparation and relentless attention to detail, which often leads to successful outcomes for her clients. A note from a former client calling her one of the “good guys” who gave them their life back hangs in her office as a reminder of the impact her work has.

A frequent speaker and published author, Courtney has presented at conferences hosted by PIABA, the Ohio State Bar Association, and Mass Torts Made Perfect. Her legal writing has appeared in the PIABA Bar Journal, Securities Arbitration Alert, and Ohio Securities Bulletin. She currently serves as a Director of PIABA and is a member of FINRA’s National Mediation and Arbitration Committee.

Session I – Retirement & Investment Fraud: How Small Firms Can Spot Client Claims and Build Referral Value | 1:00pm – 2:00pm

• Types of retirement and investment fraud cases
• Separating strong claims from weak ones
• Developing referral networks
• Case studies and best practices

Break | 2:00pm – 2:10pm

Session II – The Smart Lawyer’s Guide to Investment Fraud: Red Flags, Scams, and Legal Remedies | 2:10pm – 3:10pm

• Why should lawyers care about investment fraud
• Financial institution responsibility for third-party scams
• Pursuing investment claims in securities arbitration