Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Defelice (Defelice), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Defelice 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 November 01, 2024.
Client alleges the rr misrepresented the fees and terms of vul policy issued in 2023.