A pending customer claim tops April Waldman's BrokerCheck report, and an older dispute at the same firm settled in 2024. Waldman (CRD 4653460) is the broker on both, and each names Centaurus Financial as the firm. The pending claim is an unproven allegation, and no arbitrator has ruled on it.
Customers filed the dispute on July 6, 2023, under docket 23-01881. They alleged that Waldman improperly recommended a high-risk and illiquid investment. The claim sought $40,000, and it settled on October 24, 2024 for $22,500. BrokerCheck lists a corporate or high-yield bond and an alternative investment as the products.
April Waldman's statement says she "vehemently denied any wrongdoing" in that matter. She also explained that it began as a multi-party arbitration in January 2023. Her broker-dealer then asked for, and won, a motion to sever the claims.
Donna Louise Payne's BrokerCheck report (CRD 1007323) lists the same case number.
FINRA's forum lets several customers join one arbitration when their claims share common questions. A respondent can ask the panel to split the claims when it argues that they have no real connection. If the panel agrees, each customer's claim goes forward as its own case with its own docket number.
A severance order decides only how the claims move forward, not who is right. For April Waldman, her statement credits the broker-dealer with seeking that order. When a claim began as part of a group filing, we check the original filing date first, because timing defenses can depend on it.
A customer filed this claim on October 5, 2026, and it is pending under docket 26-02206. The customer alleges that on January 24, 2020, Waldman recommended high-risk, illiquid investments. Alleged damages are $285,100. Here too, BrokerCheck lists a high-yield bond and an alternative investment.
In her statement on BrokerCheck, Waldman denies any wrongdoing and calls the allegations "completely without merit." She says the investments matched the customer's objectives, goals and financial circumstances. Her statement also says the customer confirmed in writing that he received the investment documents and understood their risks.
FINRA member firms must supervise the activities of their brokers. If you have questions about an account that April Waldman handled, call Soreide Law Group at (888) 760-6552. You can also reach us online to speak with a securities attorney. FINRA arbitration is a national forum, so we represent investors in FINRA arbitration across the country. We handle these claims on a contingency fee basis. Learn how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of November 11, 2026. Allegations in customer complaints and arbitrations are claims, not findings. Pending claims remain open and undecided. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
Delaware Statutory Trusts sponsored by Versity Investments are at the heart of each pending claim on Edward Fernandez's BrokerCheck report. Fernandez (CRD 2956661) is the broker, and the disclosures name Capulent as the firm. The claims are pending, and their allegations are unproven. In statements on BrokerCheck, Fernandez denies them.
A pending customer claim tops April Waldman's BrokerCheck report, and an older dispute at the same firm settled in 2024. Waldman (CRD 4653460) is the broker on both, and each names Centaurus Financial as the firm. The pending claim is an unproven allegation, and no arbitrator has ruled on it.
Lisa Hallaian of Cambridge Investment Research is the broker named in a pending customer arbitration over a non-traded REIT investment. Hallaian's CRD number is 1485651. The claim's allegations are unproven, and no arbitrator has ruled on them.
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