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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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Shopa (Shopa), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shopa 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 $2,200,000.00 on September 09, 2025.

Allegations include a substantial drop in portfolio value and unsuitable recommendation and sale of a variable annuity and REIT from 2014 to 2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryan Lubitz (Lubitz), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lubitz 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 October 09, 2025.

Customers allege suitability concerns of equity sales.

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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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