Equitable Advisors

There are Recent Customer Complaints with Broker Bert Takita in Firm Equitable Advisors, LLC

March 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bert Takita (Takita), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one tax lien, alleging that Takita recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 18, 2024.

Without admitting or denying the findings, Takita consented to the sanctions and to the entry of findings that he engaged in several OBAs without providing prior written notice to his member firm. The findings stated that Takita’s activities were outside the scope of his relationship with the firm and included businesses related to insurance sales; the purchase, development, sale, and management of real property; and solar panel sales and installation. Takita received compensation from his insurance business; and he served as an owner, manager, or member of the companies through which he conducted his real estate and solar panel businesses.

There are Recent Customer Complaints with Broker Christine Gammill in Firm Equitable Advisors, LLC

March 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christine Gammill (Gammill), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gammill 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 $40,000.00 on January 24, 2025.

Claimant alleges RR Gammill made unsuitable investment recommendations in connection with her alternative investments.

There are Recent Customer Complaints with Broker Victor Torres in Firm Equitable Advisors, LLC

March 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Torres (Torres), currently associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Torres 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 $150,000.00 on October 30, 2024.

Claimants allege unsuitable recommendations with respect to two variable life insurance policies sold by RR Torres as tax shields.

Broker George Portilla in Equitable Advisors, LLC Firm Has Customer Complaint

February 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Portilla (Portilla), previously associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Portilla recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

Claimant alleges REIT purchased was unsuitable.

Broker Desmond James-jones in Equitable Advisors, LLC Firm Has Customer Complaint

February 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Desmond James-jones (James-jones), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one tax lien, alleging that James-jones recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on November 14, 2024.

Respondent James-Jones failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker Kevin Dooley in Firm Equitable Advisors, LLC

February 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Dooley (Dooley), currently associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dooley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

Claimant alleges REIT purchased was unsuitable.

There are Recent Customer Complaints with Broker Marilyn Delauro in Firm Equitable Advisors, LLC

February 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

Claimant alleges REIT purchased was unsuitable.

There are Recent Customer Complaints with Broker Donna Nadler in Firm Equitable Advisors, LLC

February 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Nadler (Nadler), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nadler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

Claimant alleges REIT purchased was unsuitable.

Broker Jamie Nowakowski in Equitable Advisors, LLC Firm Has Customer Complaint

February 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Nowakowski (Nowakowski), previously associated with Equitable Advisors, LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Nowakowski 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 $80,000.00 on December 03, 2024.

The claimant alleges unsuitable investments.

There are Recent Customer Complaints with Broker William Worth in Firm Equitable Advisors, LLC

February 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Worth (Worth), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Worth 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 $100,000.00 on December 29, 2024.

Customer alleges the RR misrepresented the policy fees for VA sold in 2022.