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 |
|---|---|---|---|---|---|---|---|---|
| Mark Edward Howell | 4236378 | 1 | 09/06/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dayne Patrick Bennett | 6003306 | 1 | 04/26/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Giuseppe Arpaia | 6016869 | 1 | 12/17/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wendy Paris Powell | 6958925 | 1 | 07/11/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shawn Thomas Mitcham | 6546979 | 2 | 05/16/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shawn Thomas Mitcham | 6546979 | 2 | 12/01/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Fisher Steffan | 4706641 | 4 | 02/02/2010 | Customer Dispute | Settled | $96,333.00 | $0.00 | See FINRA Report |
| Michael Fisher Steffan | 4706641 | 4 | 01/23/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Fisher Steffan | 4706641 | 4 | 01/11/2008 | Customer Dispute | Closed-No Action | $55,447.60 | $0.00 | See FINRA Report |
| Michael Fisher Steffan | 4706641 | 4 | 10/01/2007 | Customer Dispute | Denied | $23,380.70 | $0.00 | See FINRA Report |