Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shan Diao (Diao), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Diao recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 21, 2023.
Claimant alleges REIT purchased was unsuitable.