Articles Tagged with Equitable Advisors

| by

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.

Continue Reading

| by

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.

Continue Reading

| by

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.

Continue Reading

| by

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.

Continue Reading

| by

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.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Reich (Reich), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reich 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 April 07, 2025.

Client alleges the RR made misrepresentations in connection with variable annuities purchased in 2019 and 2020.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Hicks (Hicks), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hicks 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 April 07, 2025.

Client alleges the RR made misrepresentations in connection with variable annuities purchased in 2019 and 2020.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Shotsberger (Shotsberger), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shotsberger 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 April 24, 2025.

Client alleges RR Shotsberger made misrepresentations in connection with the replacement of a variable life insurance policy in 2019.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Browning (Browning), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Browning 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 $230,000.00 on April 03, 2024.

Misrepresentation

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Landis (Landis), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Landis 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 $14,075.00 on May 08, 2024.

Customer alleges RR forged her signature to complete an internal transfer of funds.

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2025, Gana Weinstein LLP
JUSTIA Law Firm Blog Design