A regulatory disclosure filed October 21, 2026 records FINRA findings against Alexis Aldaz (CRD 3058560). BrokerCheck names Edward Jones as the firm in the disclosure. The matter turns on a request for information that went unanswered.
FINRA found that Aldaz refused to produce information and documents it requested during an investigation. The case number is 2025086635101.
Without admitting or denying the findings, Aldaz consented to the sanction and to the entry of the findings.
FINRA can require brokers to provide documents, information and testimony during an investigation. A registered person has to answer those requests fully and on time. Refusing one breaks a rule of its own, apart from whatever FINRA was looking into.
FINRA is not a government agency, so its request rule is one of its main ways to gather evidence. A broker who disagrees with the reasons for a request still has to respond, then raise the objection through the process. The findings against Alexis Aldaz rest on a refusal of this kind.
In most brokerage accounts, the broker needs the customer's approval before each trade. Only written discretionary authority, accepted by the firm, lets a broker trade without asking first. A customer who spots a trade they never approved can raise it with the firm in writing.
In our experience, the order ticket and the customer's own notes are where these questions get answered. Firms keep tickets that show whether the customer asked for the trade. The older complaint on the Alexis Aldaz report involves this kind of question.
A client complained on June 13, 2025, alleging unauthorized trades in the account. According to BrokerCheck, the client alleged $6,000 in damages.
The dispute settled on August 7, 2025 for $2,351. A settlement is neither a finding nor an admission of wrongdoing.
FINRA Rule 8210 gives FINRA the power to require documents, written information and on-the-record testimony when it investigates. It applies to member firms and to the people associated with them. A refusal to comply is a separate violation on its own. As a result, a refusal often leads to a bar from the securities industry.
Every FINRA member firm must supervise its brokers. Investors with questions about an account Alexis Aldaz handled can call Soreide Law Group at (888) 760-6552. You can also reach us online. Our attorneys represent investors in FINRA arbitration nationwide. We take these cases on a contingency fee basis. You can read more about how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of November 7, 2026. Allegations in customer complaints and arbitrations are claims, not findings. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
Cambridge Investment Research is the firm named in an oil and gas dispute on Eric Delaney's BrokerCheck report that settled on October 20, 2026. Delaney (CRD 2886715) is the broker on the disclosure. BrokerCheck lists the product as an oil and gas program.
A settlement from October 2026 is the newest entry on Fred Chen's BrokerCheck report, and a separate customer claim remains pending. Chen (CRD 5766069) is the broker on every disclosure, and each one names Emerson Equity as the firm. The pending claim is an unproven allegation, and no arbitrator has ruled on it.
Curtis Kroll (CRD 6487481) appears in a pending FINRA arbitration that seeks more than $10,000,000, according to a disclosure filed July 8, 2026. The disclosure names Wells Fargo Advisors as the firm. No arbitrator has ruled, and the allegations remain unproven.
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