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…
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…