Securities Lawyers Blog
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.