Articles Tagged with Equitable Advisors

| by

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

FINRA BrokerCheck shows a settled customer complaint on February 03, 2023.

Client alleges RR sold positions without their knowledge while rebalancing the client’s portfolio.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Hurm (Hurm), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hurm 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 31, 2025.

Clients allege the RR misrepresented the terms of their variable life insurance policies purchased in 2021.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Abrams (Abrams), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Abrams 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 $18,395.49 on June 23, 2023.

Customer alleged the RR did not advise them of surrender charges negatively impacting their new variable annuity investment.

Continue Reading

| by

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.

Continue Reading

| by

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.

Continue Reading

| by

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.

Continue Reading

| by

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.

Continue Reading

| by

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.

Continue Reading

| by

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.

Continue Reading

| by

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.

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

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 © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design