Articles Tagged with Equitable Advisors

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

FINRA BrokerCheck shows a settled customer complaint on December 19, 2023.

Claimant alleges REIT purchased was unsuitable.

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

FINRA BrokerCheck shows a settled customer complaint on December 19, 2023.

Claimant alleges REIT purchased was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Belline (Belline), previously associated with Equitable Advisors, LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Belline recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $86,639.51 on December 18, 2023.

Clients alleged they were overcharged advisory fees by their RR.

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

FINRA BrokerCheck shows a settled customer complaint on December 19, 2023.

Claimants allege REIT purchased was unsuitable.

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

FINRA BrokerCheck shows a settled customer complaint on December 19, 2023.

Claimant alleges REIT purchased was unsuitable.

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $139.30 on March 13, 2024.

Client contacted the service center and alleged that EQH Advisor electronically signed her name to documents related to opening a TSA application without her knowledge, consent or authority.

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $99,000.00 on March 18, 2024.

Claimants allege RR Kiefer recommended unsuitable alternative investments.

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

FINRA BrokerCheck shows a settled customer complaint on March 27, 2024.

Claimant alleges REIT purchased in 2015 was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Brown (Brown), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $5,000.00 on March 18, 2025.

Customer alleges RR forged their signature on brokerage account applications issued 11/2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Fredericks (Fredericks), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fredericks 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 $5,000.00 on March 31, 2025.

Clients allege RR Fredericks made unsuitable investment recommendations and executed unauthorized trades in their IRA accounts.

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