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 |
|---|---|---|---|---|---|---|---|---|
| Lisa Miller | 4612774 | 1 | 06/10/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Howard Martin Weinstein | 1373062 | 4 | 06/06/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dale Edward Swanzer | 2843050 | 9 | 06/03/2016 | Customer Dispute | Denied | $14,850.50 | $0.00 | See FINRA Report |
| Matthew Evan Klein | 5060520 | 5 | 05/24/2016 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Eric Sean Callahan | 2310085 | 1 | 05/20/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Evan Klein | 5060520 | 5 | 05/17/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Carl Scher | 1532700 | 1 | 05/16/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew J Rizzo | 5622166 | 1 | 05/02/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tak Cheong Fung | 3176168 | 1 | 05/02/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Francis Heyman | 831418 | 1 | 05/02/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |