Articles Tagged with Equitable Advisors

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Minesh Shah (Shah), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shah 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 May 21, 2025.

Client alleges the RR made misrepresentations in connection with a variable life insurance policy purchased in 1996.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karl Thaler (Thaler), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thaler 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 $19,999.00 on July 11, 2025.

Plaintiff alleges the RR failed to adequately disclose internal investment fees and made misrepresentations in connection with a variable annuity purchased in 2022.

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

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

Client alleges the RR did not disclose the surrender charges associated with a variable annuity sold in 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Alfano (Alfano), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alfano 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 $12,762.88 on June 26, 2025.

Client alleged the rep switched her policy without authorization.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Turk (Turk), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Turk 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 $202,624.47 on November 28, 2023.

Client alleges RR Turk made misrepresentations in connection with an annuity purchased in 2007.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Rea (Rea), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rea 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 $200,000.00 on September 13, 2024.

Customer alleges RR misrepresented three variable annuities sold in 2018, 2020 and 2023. Customer alleges RR did not disclose policy fees and surrender charges, resulting in investments that are unsuitable for her financial requirements.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ejiro Okuma (Okuma), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Okuma 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 $9,143,000.00 on June 04, 2025.

Claimant alleges registered representative took control of Claimant’s accounts converting funds to systemically enrich himself and a family member.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Gesualdo Perez (Gesualdo Perez), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gesualdo Perez 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 July 08, 2025.

Client alleges the RR made misrepresentations in connection with a variable annuity purchased in 2006.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Alfano (Alfano), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alfano 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 $12,762.88 on June 26, 2025.

Client alleged the rep switched her policy without authorization.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Gesualdo Perez (Gesualdo Perez), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gesualdo Perez 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 July 08, 2025.

Client alleges the RR made misrepresentations in connection with a variable annuity purchased in 2006.

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New York, NY 10017
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Chicago, IL 60613
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#1
Montclair, NJ 07042
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