EDWARD ERIC FERNANDEZ is currently employed as a Broker and/or Investment Adviser at CAPULENT LLC located at 1 Spectrum Pointe Drive, Ste 150, Lake Forest, CA, 92630.
EDWARD ERIC FERNANDEZ has worked at CAPULENT LLC since October 05, 2017
Disclosure History
EDWARD ERIC FERNANDEZ has 4 Disclosure Event(s).
Date: January 29, 2015 Category: Judgment / Lien Judgment/Lien Amount: $91,627.00 Judgment/Lien Type: Tax Broker Comment: Being satisfied pursuant to an installment plan
Date: April 02, 2012 Category: Customer Dispute Allegations: COMPLAINANT ALLEGES THAT ON OR AROUND 09/21/2009 MR. FERNANDEZ WAS INVOLVED IN PROMOTING THE CLFA PROMISSORY NOTE, WHICH WAS ULTIMATELY SOLD THROUGH COMPLAINANT'S INVESTMENT ADVISER, WHEREBY THE MONIES RAISED FROM THE SALE OF A PROMISSORY NOTE WERE NOT USED FOR THE PURPOSES REPRESENTED. Damage Amount Requested: $35,000.00 Broker Comment: THIS COMPLAINT IS SIMILAR IN NATURE TO A PREVIOUS COMPLAINT AGAINST MR. FERNANDEZ IN WHICH BOTH COMPLAINANTS WERE PRESENT DURING THE SAME PRESENTATION INVOLVING THE CLFA NOTE SOLD THROUGH THE SAME INVESTMENT ADVISER. THIS MATTER ARISES FROM THE COMPLAINANT'S PRESENCE AT A PRESENTATION INVOLVING A CLFA NOTE SOLD THROUGH AN INVESTMENT ADVISER. ON AUGUST 14, 2013, FINRA INFORMED COUNSEL TO PCCI THAT IT HAD MADE A DETERMINATION TO CLOSE ITS FILE BASED ON THE FACTS KNOWN TO FINRA AT THAT TIME.
Date: January 25, 2012 Category: Customer Dispute Allegations: A CUSTOMER OF A BROKER DEALER (THE CUSTOMER IS ALSO A REGISTERED REPRESENTATIVE WITH THAT BROKER DEALER) WHO, ON OCTOBER 19, 2009, INVESTED $20,000 IN A PRIVATE NOTES OFFERING WHOLESALED BY THE FIRM, HAS ALLEGED IN A COMPLAINT TO FINRA THAT MR. FERNANDEZ "PROMISED" IN A PHONE CONVERSATION ON AN UNSPECIFIED DATE THAT THE NOTE WOULD BE PAID WITHIN 12 MONTHS. Damage Amount Requested: $20,000.00
Date: September 12, 1994 Category: Criminal Charges: 1) VIOLATION OF CA. VEHICLE CODE SEC. 10751(A), REMOVAL OF IDENTIFICATION AND/OR SERIAL NUMBER, MISDEMEANOR, 2) VIOLATION OF CA. PENAL CODE SEC. 529.3, FALSE PERSONATION, MISDEMEANOR, 3) VIOLATION OF CA. VEHICLE CODE SEC. 31, FALSE INFORMATION TO POLICE OFFICER, MISDEMEANOR, 4) VIOLATION OF CA. VEHICLE CODE SEC. 14601.1(A), DRIVING ON A SUSPENDED LICENSE, MISDEMEANOR, 5) VIOLATION OF CA. VEHICLE CODE SEC. 12500(B), DRIVING A VEHICLE TYPE NOT LICENSED FOR, MISDEMEANOR, 6) VIOLATION OF CA. VEHICLE CODE SEC. 4000(A), DRIVING A MOTOR VEHICLE WITHOUT A REGISTRATION, INFRACTION, 7) VIOLATION OF CA. VEHICLE CODE SEC. 27151, IMPROPERLY MODIFIED EXHAUST SYSTEM, INFRACTION. COUNTS 3, 5, 6 AND 7 WERE SUSPENDED. PLED GUILTY TO COUNTS 1, 2 AND 4. Charge Type: MISDEMEANOR Disposition: CONVICTED OF A VIOLATION OF COUNT 4 ON 10/24/1994. IMPOSITION OF SENTENCE WAS SUSPENDED, PLACED ON CONDITIONAL SENTENCE FOR 3 YEARS. SENTENCED TO 30 DAYS JAIL FOR VIOLATION OF COUNTS 1, 2, AND 4. Broker Comment: RIDING A MOTORCYCLE WHICH WAS NOT MINE. I GOT PULLED OVER AND THE NUMBERS ON THE ENGINE WERE REMOVED. I HAD A WARRANT FOR NOT PAYING A TICKET AND I HAD JUST STARTED A NEW JOB TO PAY THE COURT, SO I GAVE MY BROTHERS NAME. I WAS DRIVING WITH A SUSPENDED LICENSE.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for EDWARD ERIC FERNANDEZ, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.