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 $400,000.00 on May 18, 2026.

Breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of the Virginia and Wisconsin Securities Acts and federal securities laws and violation of Best Interest Obligation (Reg BI), trade placed sometime in 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Simpson (Simpson), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simpson 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 $100,000.00 on August 19, 2020.

Unsuitable Recommendations

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Simpson (Simpson), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simpson 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 $100,000.00 on August 19, 2020.

Unsuitable Recommendations

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Currently financial advisor Robert Reese (Reese), currently employed by brokerage firm Innovation Partners LLC 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 $500,000.00 on March 08, 2026.

Client alleges Mr. Reese invested client’s funds in illiquid, private placements. Reese misrepresented the alternative investments incorporated less risk than the securities markets. These investments were concentrated in life insurance and real estate.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Barrows (Barrows), currently associated with Innovation Partners LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Barrows recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 27, 2026.

Respondent Barrows failed to pay arbitration fees of $6,727.14 assessed in FINRA Arbitration Case #22-01360.

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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

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harrison Chang (Chang), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chang 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 $200,000.00 on January 30, 2026.

Customer alleges the representative did not act in the best interest of the retail customer when recommending investment to customer in February 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Mcchesney (Mcchesney), previously associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcchesney 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 $483,192.00 on November 18, 2020.

Client alleges negligence, unsuitable investment recommendations, lack of authority, and seeks recovery of potential taxes from capital gains.

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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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