Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Shopa (Shopa), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shopa 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 $2,200,000.00 on September 09, 2025.
Allegations include a substantial drop in portfolio value and unsuitable recommendation and sale of a variable annuity and REIT from 2014 to 2024