Our Staff has compiled our research into a database of FINRA Broker Disclosures for Equitable Distributors, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Michael John Peterson | 2344835 | 1 | 06/18/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Wayne Templin | 2855907 | 1 | 10/26/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| David L Williams | 6697532 | 6 | 10/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David L Williams | 6697532 | 6 | 06/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David L Williams | 6697532 | 6 | 03/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David L Williams | 6697532 | 6 | 02/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David L Williams | 6697532 | 6 | 01/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Anthony Harris | 4523517 | 1 | 11/07/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas John Mocogni | 855653 | 1 | 08/17/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Leslie Newell Ogden | 3173403 | 6 | 10/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |