Articles Tagged with Equitable Advisors

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Paul Baldino (Baldino), 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 Baldino  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on April 10, 2026.

Client alleges the RR engaged in excessive trading, misrepresented fees, and made unsuitable investment recommendations.

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

FINRA BrokerCheck shows a settled customer complaint on June 01, 2020.

Client alleges misrepresentation in the sale of an insurance policy in 2018.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rasikaran Boaz (Boaz), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Boaz 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 $100,000.00 on August 10, 2020.

Client alleges a 2015 replacement insurance policy’s fees and surrender scheduled were misrepresented.

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

FINRA BrokerCheck shows a settled customer complaint on August 12, 2020.

Client alleges misrepresentation in the purchase of a variable life insurance policy purchased in 2017.

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

FINRA BrokerCheck shows a settled customer complaint on December 31, 2020.

Claimant alleges RR made unsuitable recommendations of investments within his IRA.

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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 one disclosable event. These events include one customer complaint, 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 January 20, 2026.

Claimant alleges alternative investments purchased were unsuitable.

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

FINRA BrokerCheck shows a pending customer complaint on January 20, 2026.

Claimant alleges alternative investments purchased were unsuitable.

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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 one disclosable event. These events include one customer complaint, 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 January 20, 2026.

Claimant alleges alternative investments purchased were unsuitable.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Ted Chen (Chen), previously employed by Equitable Advisors, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Chen’s most recent customer complaint alleges that Chen recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on January 27, 2026.

Client alleges the purchase of a structured product in 2025 was not suitable for his financial needs and resulted in unexpected tax consequences.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Meen Rhu (Rhu), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rhu 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 February 06, 2026.

Client alleges the RR executed transactions in their account without authorization.

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