Securities Lawyers Blog
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.