Kevin Thomas Dooley of Miami, Florida, a stockbroker associated with Equitable Advisors LLC, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $98,400.00 in damages based upon allegations that Dooley made unsuitable recommendations of alternative investments between 2012 and 2014 when Dooley was associated with Equitable Advisors LLC. FINRA Arbitration No. 21-02471 (July 13, 2023).
This is not the first time that Dooley has been referenced in a customer initiated investment related dispute concerning Dooley’s conduct in the securities industry. FINRA Public Disclosure shows that Dooley was also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $690,000.00 in damages based upon allegations that Dooley made unsuitable recommendations of REITs and variable annuities and did not adequately disclose the risks of those products when Dooley was associated with AXA Advisors LLC. FINRA Arbitration No. 19-03066 (August 3, 2021).
Dooley has been associated with Equitable Advisors LLC in Miami, Florida since May 26, 1995, as a stockbroker, and since February 8, 2000, as an investment adviser representative.
