Articles Tagged with Equitable Advisors

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.

Claimant alleges REIT purchased was unsuitable.

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

FINRA BrokerCheck shows a pending customer complaint on July 23, 2024.

Customer alleges RR Felicelli made unsuitable recommendations in connection with a variable annuity purchased in 2013.

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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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