Articles Tagged with Equitable Advisors

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Torres (Torres), currently associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Torres 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 $150,000.00 on October 30, 2024.

Claimants allege unsuitable recommendations with respect to two variable life insurance policies sold by RR Torres as tax shields.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Portilla (Portilla), previously associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Portilla recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

Claimant alleges REIT purchased was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Dooley (Dooley), currently associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dooley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

Claimant alleges REIT purchased was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marilyn Delauro (Delauro), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Delauro recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

Claimant alleges REIT purchased was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Nadler (Nadler), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nadler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

Claimant alleges REIT purchased was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Nowakowski (Nowakowski), previously associated with Equitable Advisors, LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Nowakowski 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 $80,000.00 on December 03, 2024.

The claimant alleges unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Worth (Worth), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Worth 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 $100,000.00 on December 29, 2024.

Customer alleges the RR misrepresented the policy fees for VA sold in 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Heck (Heck), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heck 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 $5,000.00 on January 03, 2025.

Client alleges RR made an unsuitable recommendation, failed to disclose fees, and made misrepresentations in connection with a variable annuity purchased in 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Heck (Heck), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heck 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 $5,000.00 on January 03, 2025.

Client alleges RR made an unsuitable recommendation, failed to disclose fees, and made misrepresentations in connection with a variable annuity purchased in 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Boruch Gutter (Gutter), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gutter 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 $5,000.00 on January 12, 2025.

Client alleges RR Gutter made misrepresentations in connection with a VUL policy purchased in 2021 which was unsuitable for their financial needs.

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