Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jesse Thomas (Thomas), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thomas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 18, 2023.
Client alleges RR misrepresented variable annuity contracts sold in 2023 and the RR fraudulently signed her name on a client form.