Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Ted Chen (Chen), previously employed by Equitable Advisors, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Chen’s most recent customer complaint alleges that Chen recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on January 27, 2026.
Client alleges the purchase of a structured product in 2025 was not suitable for his financial needs and resulted in unexpected tax consequences.