Jerry Dale Kiefer, of Edmond, Oklahoma, a stockbroker registered with Equitable Advisors LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $99,000.00 in damages based upon the alleged unsuitable investment recommendation of real estate securities or REITs during the time that…
Marc David Drew of Salt Lake City, Utah, a stockbroker registered with Equitable Advisors LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested more than $5,000.00 in damages based upon allegations that Drew made the unsuitable investment recommendation of real estate…
Travis Lynn Riggs, of Bentonville, Arkansas, a stockbroker registered with Equitable Advisors LLC, was the subject of a customer initiated investment related complaint that was settled on June 1, 2023, for $23,732.11 in damages based upon allegations that Riggs charged excessive fees in connection with their investment account when Riggs was associated with Equitable Advisors…
Michael John Mashak of La Crosse, Wisconsin, a stockbroker registered with Equitable Advisors LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested compensatory damages based upon allegations that Mashak made the unsuitable investment recommendation of Real Estate Investment Trusts or REITs…
Michael Maggiore, of Woodbridge, New Jersey, a stockbroker registered with Equitable Advisors LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested compensatory damages based upon allegations that Maggiore made the unsuitable investment recommendation of Real Estate Investment Trusts or REITS during…
Kevin L. Peters, of Melville, New York, a stockbroker registered with Equitable Advisors LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested compensatory damages based upon allegations that Peters made the unsuitable investment recommendations of real estate securities during the time…
Richard Lance Belline, of Rogers, Arkansas, a stockbroker registered with Equitable Advisors LLC, is the subject of a customer initiated investment related complaint filed on December 18, 2023, in which the customer requested $64,781.68 in damages based upon allegations that Belline overcharged advisory fees when Belline was associated with Equitable Advisors LLC. It is uncertain…
Howard Jeffrey Douglas, of Woodbury, New York, a stockbroker registered with Equitable Advisors LLC, was the subject of a customer initiated investment related complaint filed on September 27, 2023, in which the customer requested compensatory damages based upon allegations that Douglas made the unsuitable investment recommendation of in variable annuities when Douglas was associated with…
Jeffrey Wayne Davidson of Austin, Texas, a stockbroker registered with Equitable Advisors LLC, has been fined $15,000.00 and suspended for 21 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Davidson engaged in private securities transactions or selling away. Letter of Acceptance, Waiver, and Consent No. 2022073948401 (February 16,…
John Lawrence Abrams (also known as Jack Abrams), of Boca Raton, Florida, a stockbroker registered with Equitable Advisors LLC, was discharged by the securities broker dealer on August 28, 2023, based upon allegations that Abrams took a loan from a customer. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Abrams has been identified in…
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…
Jeffrey Martin Tabman of Woodbury, New York, a stockbroker registered with Equitable Advisors LLC, is the subject of a customer initiated investment related complaint filed on January 12, 2023, in which the customer requested compensation based upon allegations that Tabman made unsuitable recommendations of mutual funds when Tabman was associated with Equitable Advisors LLC. The…
David Lee Hutchinson, of Bellevue, Washington, a stockbroker registered with Equitable Advisors LLC, was the subject of a customer initiated investment related complaint filed on August 8, 2022, in which the customer requested damages based upon allegations that Hutchinson made misrepresentations of material fact in connection with the sale of mutual funds when Hutchinson was…
Brian E. Patterson of Woodbridge, New Jersey, a stockbroker registered with Equitable Advisors, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $18,750.00 in damages based upon allegations that Patterson made unsuitable recommendations of Real Estate Investment Trusts (“REITs”) during the time that Patterson was associated with Equitable…
Philip Norris Smith (also known as Philip Norris Smith), of Woodland Hills, California, a stockbroker registered with Equitable Advisors LLC, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Smith made unsuitable investment recommendations to an Equitable Advisors customer in connection…
William Benjamin Greenman of Bellmore, New York, a stockbroker registered with Equitable Advisors LLC, has been discharged by the securities broker dealer on November 21, 2022, based upon allegations that Greenman was the subject of a customer complaint. Public Disclosure reveals that on November 14, 2022 – a week prior to the termination – a…
Kevin Dominic Klickna, of Springfield, Illinois, a stockbroker registered with Equitable Advisors LLC, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Klickna committed forgery. Acceptance, Waiver, and Consent No. 2021071200801 (January 4, 2023). In April 2021, Equitable Advisors LLC submitted…
Robert Edward Bortz Jr. of Waukesha, Wisconsin, a stockbroker registered with Equitable Advisors LLC (formerly known as AXA Advisors LLC), was the subject of a customer initiated investment related complaint that was settled on February 28, 2022, for $49,181.81 in damages based upon allegations that Bortz made omissions of material fact in connection with the…
Anthony Vincent Didonna, a stockbroker registered with Equitable Advisors has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Didonna failed to respond to FINRA’s request for information. Case No. 2021071227201 (Mar. 17, 2022). According to FINRA Public Disclosure, FINRA issued Didonna a Notice of Suspension on December…
Philip Norris Smith of Woodland Hills, California, a stockbroker registered with Equitable Advisors LLC, is the subject of a customer initiated investment related complaint on September 20, 2022 in which the customer requested compensatory damages based upon allegations that Smith made misrepresentations relating to the recommendation and sale of variable annuities when Smith was associated…
Camille Cordova of Woodland Hills, California, a stockbroker formerly registered with Equitable Advisors (formerly known as AXA Advisors), has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Cordova made an unsuitable recommendation to the customer regarding a variable…
James Earl Simpson of Toledo, Ohio, a stockbroker formerly registered with Equitable Advisors LLC, is identified in a customer initiated investment related written complaint which was settled for $51,500.00 on January 28, 2022, founded on allegations that the customer was sold an unsuitable variable annuity through Simpson when he was employed by Equitable Advisors. According…
Edgar A. Kleydman of Brooklyn, New York, a stockbroker formerly registered with Equitable Advisors LLC (formerly known as AXA), is named in a customer initiated investment related FINRA securities arbitration claim where the customer received an award of $10,325.32 in damages supported by findings of Kleydman’s sales practice violations. The Statement of Claim alleges negligence,…
Ryan James Ott of Woodbridge, New Jersey, a stockbroker formerly registered with Equitable Advisors LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that he failed to cooperate with FINRA’s request for information. Case No. 2020068564201 (November 1, 2021). According to FINRA Public Disclosure,…
David Allan Cohen, of Rockville, Maryland, a stockbroker formerly registered with Equitable Advisors, is identified in a customer initiated investment related written complaint on September 22, 2020, where the customer requested compensatory damages supported by accusations of unauthorized transactions, including loans against a customer’s insurance policy without their consent while Cohen was associated with Equitable…
James Earl Simpson, of Toledo, Ohio, a stockbroker formerly registered with Equitable Advisors LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Simpson failed to cooperate with FINRA’s investigation, which focused on allegations of him making unsuitable investment recommendations during the time that…
Ryan James Ott of Woodbridge New Jersey a stockbroker formerly registered with Equitable Advisors LLC has been discharged on November 2, 2020 based upon allegations of Ott failing to be responsive to supervisory personnel and for neglecting to handle customer inquiries during the period that he was placed on heightened supervision. FINRA Public Disclosure Ryan…
Douglas Eugene Keller (also known as Donald Eugene Savery) of Red Bank New Jersey a stockbroker formerly registered with Equitable Advisors (also known as AXA Advisors) is referenced in a customer initiated investment related written complaint on August 10, 2020 in which the customer sought $100,000.00 in damages supported by accusations that misrepresentations had been…