Our Staff has compiled our research into a database of FINRA Broker Disclosures for Equitable Advisors, 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 |
|---|---|---|---|---|---|---|---|---|
| Thomas B Wells | 1960688 | 2 | 02/26/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Douglas Allen Karney | 2631047 | 1 | 10/23/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Henry Becker | 843072 | 1 | 01/23/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Alan Stephen Katkin | 2226400 | 3 | 08/10/2000 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Alan Stephen Katkin | 2226400 | 3 | 08/10/2000 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Paul David Hay | 2368896 | 1 | 05/23/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Foster Woodcock | 1575147 | 2 | 03/22/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brent Wood Koch | 1336567 | 4 | 02/18/2000 | Customer Dispute | Closed-No Action | $1,500.00 | $0.00 | See FINRA Report |
| Daniel Carlos Venegas | 1194311 | 3 | 02/18/2000 | Customer Dispute | Closed-No Action | $1,500.00 | $0.00 | See FINRA Report |
| William Mathews Dolan | 69554 | 3 | 09/28/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |