Articles Tagged with Equitable Advisors

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Price (Price), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Price 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 $5,000.00 on May 13, 2025.

Client alleges VA’s purchased in 2025 were not suitable for her financial needs and fees were not disclosed.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francis Donnelly Iii (Donnelly Iii), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Donnelly Iii 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 $72,331.00 on November 14, 2023.

Customer alleges RR misrepresented VUL policy sold in 2004.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Peters (Peters), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peters 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 Michael Maggiore (Maggiore), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Maggiore 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 Marc Drew (Drew), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Drew 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 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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