Securities Lawyers Blog
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.