Innovation Partners LLC

Broker Vincent Mallon in Innovation Partners LLC Firm Has Customer Complaint

April 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on August 02, 2024.

Without admitting or denying the findings, Mallon consented to the sanctions and to the entry of findings that he certified to the State of New York that he had personally completed 15 hours of continuing education required to renew his state insurance license when, in fact, another person had completed that continuing education on his behalf.

There are Recent Customer Complaints with Broker William Duffy in Firm Innovation Partners LLC

March 29, 2025 | by Staff Attorney

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 5 disclosable events. These events include 5 customer complaints, 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 on January 23, 2025.

Violations of Federal Securities Laws, fraud in offer or sale of securities, fraud in connection with the purchase of sale of securities, Violations of California Securities Laws, unsuitable recommendations, misrepresentations and omissions of material fact, California Unfair, Unlawful and Fraudulent Business Practices, Violation of California’s Financial Elder Abuse Law, Violation of Washington’s Securities Act, Violation of Washington’s Consumer Protection Act, Violation 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, 12/2019

There are Recent Customer Complaints with Broker Shannon Powers in Firm Innovation Partners LLC

March 7, 2025 | 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 2 disclosable events. These events include 2 customer complaints, 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 $50,000.00 on January 13, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

There are Recent Customer Complaints with Broker Daniel Beech in Firm Innovation Partners LLC

February 15, 2025 | by Staff Attorney

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 10 disclosable events. These events include 9 customer complaints, one tax lien, 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 $1,400,000.00 on January 15, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

Broker Hans Sharma in Innovation Partners LLC Firm Has Customer Complaint

February 6, 2025 | by Staff Attorney

Currently financial advisor Hans Sharma (Sharma), 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 settled customer complaint on February 24, 2023.

Bought on 12/12/2024, American Realty Capital, hospitality Trust (REIT), Chapter 11 Bankruptcy.