Reg BI

Broker Edward Fernandez in Capulent LLC Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Fernandez (Fernandez), currently associated with Capulent LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fernandez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on January 16, 2026.

Claimants allege that a portfolio of Delaware statutory trust investments was unsuitable in light of their financial circumstances and investment objectives. The portfolio included an offering sponsored by Versity Investments, which has subsequently been the subject of multiple complaints relating to alleged sponsor level and product level operational failures.

Broker Victor Rodriguez in Edward Jones Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Rodriguez (Rodriguez), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $14,000.00 on January 15, 2026.

Authorized party for client HOA entity alleges that Financial Advisor placed HOA in unsuitable investment, a 20 year bond, despite being aware that HOA would have continuous short term liquidity need.

Broker Shannon Powers in Innovation Partners LLC Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shannon Powers (Powers), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Powers recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $10,500.00 on January 17, 2026.

Customer alleges the representative did not act in the best interest of the retail customer when recommending investment to the customer in January 2021

There are Recent Customer Complaints with Broker George Portilla in Firm Equitable Advisors, LLC

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Portilla (Portilla), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Portilla recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 20, 2026.

Claimant alleges alternative investments purchased were unsuitable.

Broker Kevin Mccarthy in Madison Avenue Securities, LLC Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Mccarthy (Mccarthy), previously associated with Madison Avenue Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccarthy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,600,000.00 on January 17, 2026.

The complaint alleges the advisor managed the client’s financial affairs without a Durable Power of Attorney and allegedly facilitated the disappearance of $1.6 million from three of the client’s bank accounts between January 2018 and June 2024. The advisor also allegedly failed to report the client’s death and the advisor’s family received money and assets from the client’s accounts. In addition, unauthorized changes were allegedly made to the client’s beneficiaries without proper signatures. A limited partnership remains registered under the client’s name.

There are Recent Customer Complaints with Broker Frederick Salus in Firm Wells Fargo Clearing Services, LLC

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Salus (Salus), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Salus recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 16, 2026.

Client complains that the financial advisor did not offer the option of self-directed, commission free account. (1/1/2019-1/16/2026)

There are Recent Customer Complaints with Broker Robert Wilkinson in Firm LPL Financial LLC

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Wilkinson (Wilkinson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wilkinson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $325,000.00 on January 17, 2026.

Customer alleges the representative did not act in the best interest of the retail customer when recommending investment to the customer between January 2017 through August 2020.

Broker David Elhoff in Independent Financial Group, LLC Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Elhoff (Elhoff), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Elhoff recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on January 16, 2026.

Alleges investments were made without the client’s consent and that investments were not suitable. Part of the claim is also for taxes paid as the result of a recommendation that the client roll a Traditional IRA into a ROTH.

There are Recent Customer Complaints with Broker Chase Ambrose in Firm Morgan Stanley

April 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chase Ambrose (Ambrose), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Ambrose recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,000.00 on January 20, 2026.

Prospective client alleges that she had an agreement with the fa to deposit $1000 of her personal funds into his personal account at morgan stanley in order to earn interest. Individual states that she has not been able to recover her principal.

There are Recent Customer Complaints with Broker Rachel Broytman in Firm LPL Enterprise, LLC

April 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rachel Broytman (Broytman), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Broytman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $38,658.92 on January 23, 2026.

Customer alleges the rep misrepresented the policy convincing him to assume the policy for the tax advantages it offered.