Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Hicks (Hicks), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hicks 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 April 07, 2025.
Client alleges the RR made misrepresentations in connection with variable annuities purchased in 2019 and 2020.