Securities Lawyers Blog

Broker Alwin Martinez Gonzalez in Investment Planners, INC. Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alwin Martinez Gonzalez (Martinez Gonzalez), previously associated with Investment Planners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martinez Gonzalez 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 $10,000.00 on January 15, 2026.

In November of 2025, client sent a complaint alleging unauthorized trading for $10000 of preferredshares of Prospect Capital. Claim states she notified the advisor after their October 2024 meeting tonot place the the preferred stock trade, to which she stated the financial professional confirmed viatext message.

Broker Sam Bhushan in Cabin Securities, INC. Firm Has Customer Complaint

April 10, 2026 | by Staff Attorney

Previously financial advisor Sam Bhushan (Bhushan), previously employed by brokerage firm Cabin Securities, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,021,000.00 on January 20, 2026.

Bhushan was the subject of the customer’s complaint regarding a reg D private placement. The complaint against his member asserted the following causes of action, fraud, misrepresentation, omissions of material facts, unsuitable recommendations, breach of contract, and breach of fiduciary duty.

Broker Mark Kissinger in Nylife 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 Mark Kissinger (Kissinger), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kissinger 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.

The customer alleges the variable universal life insurance product he purchased in July 2022 was not suitable for his financial goals, risk tolerance, and liquidity needs. The customer requested a refund of the surrender charges.

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.