Articles Tagged with Equitable Advisors

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

FINRA BrokerCheck shows a settled customer complaint on May 22, 2022.

The client alleges the RR sold them an unsuitable product in 2021, based on their needs.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jeffrey Somerstein (Somerstein), currently 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), Somerstein’s most recent customer complaint alleges that Somerstein recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint on June 10, 2022.

Client alleges RR sold them unsuitable structured notes in 2021.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Alan Friedman (Friedman), currently 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), Friedman’s most recent customer complaint alleges that Friedman recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint on June 10, 2022.

Client alleges RR sold them unsuitable structured notes in 2021.

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

FINRA BrokerCheck shows a settled customer complaint on June 15, 2022.

The client alleges the RR sold them an unsuitable REIT in 2015.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Lacedonia (Lacedonia), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lacedonia 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 July 06, 2022.

The client alleges he was provided misleading information in 2021 concerning the purchase of two municipal bond funds and is asking to be refunded the losses.

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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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