Articles Tagged with Equitable Advisors

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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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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 $100,000.00 on February 17, 2026.

Claimants allege unsuitability and misrepresentation by the RR in connection with two VUL policies purchased in 2023 and 2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mosslih (Mosslih), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mosslih 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 17, 2026.

Client alleges VUL policy purchased in 2025 was not suitable for his financial needs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Migdale (Migdale), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Migdale 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 $30,000.00 on September 21, 2020.

Claimant alleges unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Beck (Beck), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beck 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 $38,251.72 on November 24, 2020.

Clients allege the RR sold them unsuitable variable life insurance products in 2018.

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

FINRA BrokerCheck shows a settled customer complaint on February 17, 2021.

Client alleges the terms and benefits of his variable annuity (purchased in 2020) were not properly disclosed to him.

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

FINRA BrokerCheck shows a settled customer complaint on February 26, 2021.

Claimants allege that alternative investments that RR recommended in 2014 were unsuitable and seek damages for investment losses.

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

FINRA BrokerCheck shows a settled customer complaint on April 30, 2021.

Claimant alleges that he did not authorize the margin positions that were taken in his investment account.

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