Articles Tagged with Equitable Advisors

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

FINRA BrokerCheck shows a settled customer complaint on December 13, 2022.

Client alleged RR misled them on their options for an internal variable policy exchange in 2022.

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

FINRA BrokerCheck shows a settled customer complaint on January 05, 2023.

Client alleges that RR did not explain that a new variable policy would be issued to obtain a non-smoker rating.

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

FINRA BrokerCheck shows a settled customer complaint on January 12, 2023.

Client alleges RR recommended an unsuitable managed account in 2022.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Bryan Lubitz (Lubitz), currently associated with Equitable Advisors, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Lubitz  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a final customer complaint with a damage request of $139,224.00 on January 18, 2023.

Time frame: March 2013 – August 2022. Claimant alleges suitability, churning, breach of fiduciary duty, breach of contract, unauthorized trading, negligence, misrepresentation, omission of material facts

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

FINRA BrokerCheck shows a settled customer complaint on January 12, 2023.

Client alleges RR recommended an unsuitable managed account in 2022.

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

FINRA BrokerCheck shows a settled customer complaint on April 18, 2023.

Client alleges RR misrepresented variable annuity contracts sold in 2023 and the RR fraudulently signed her name on a client form.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jordan Lenderman (Lenderman), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lenderman 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 August 21, 2025.

Client alleges the RR did not follow instructions on how to invest her funds and placed them in an inappropriate product resulting in missed growth opportunity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Diana Chernyhovsky (Chernyhovsky), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chernyhovsky 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 August 21, 2025.

Customer alleges VUL policy sold in 2021 was not suitable for their financial needs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Price (Price), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Price 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 September 03, 2025.

Client alleges the RR made trades in the account without their knowledge or consent.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darren Daye (Daye), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Daye 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 $130,000.00 on October 26, 2022.

Suitability in GWG Holdings L Bonds and preferred stock and GPB Waste Management, LP. October 2017to June 2018.

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