Articles Tagged with Innovation Partners LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Duffy (Duffy), previously associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Duffy 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 $50,000.00 on January 14, 2026.

Violations of federal securities laws, Violations of the Colorado Securities Act, Violation of Colorado Consumer Protection Act, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Duffy (Duffy), previously associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Duffy 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 $25,000.00 on August 04, 2025.

Suitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Espinoza (Espinoza), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Espinoza 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 $60,000.00 on July 20, 2021.

Breach of fiduciary duty, unsuitable recommendation, material misrepresentations and omissions. Transactions occurred early in 2015.

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

FINRA BrokerCheck shows a settled customer complaint on April 29, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robin Saleeby (Saleeby), previously associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Saleeby 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 $6,974.29 on May 06, 2022.

Customer alleges that financial professional misrepresented variable annuity purchased in 2021 and failed to timely deliver contract.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Ross (Ross), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ross 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 $500,000.00 on March 07, 2025.

Allegations of Breach of Contract, Suitability, Breach of Fiduciary Duty, Misrepresentation, and Negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Beech (Beech), previously associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beech 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 $282,000.00 on August 28, 2025.

Recommendation of unsuitable investment in GWG L bond in May 2019

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Julian Rodriguez (Rodriguez), currently associated with Innovation Partners LLC, 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 $35,555.00 on April 13, 2023.

In the financial industry advisors must meet the requirements of the SEC’s Regulation Best Interest (Reg BI) in providing investment advice and services.  Reg BI established a ‘best interest’ standard for brokerage firms and registered representatives. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Karin (Karin), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Karin 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 $150,000.00 on July 29, 2025.

Unsuitable sale of GWG Holdings, Inc. L bonds in 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Reo (Reo), previously associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reo 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 $350,000.00 on September 14, 2022.

Client wanted income investment, showed them variety of choices, bonds, UIT, Direct Investment

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295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
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