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 |
|---|---|---|---|---|---|---|---|---|
| Michael Stephen Thomas | 2176069 | 2 | 03/26/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward Aaron Balfour | 2780606 | 2 | 03/19/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Walter Clifton Shirley | 422355 | 4 | 02/23/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Thomas Manchester | 4397883 | 2 | 02/07/2007 | Customer Dispute | Withdrawn | $170,000.00 | $0.00 | See FINRA Report |
| Derek M Giacomazzi | 2340387 | 4 | 01/19/2007 | Customer Dispute | Closed-No Action | $104,000.00 | $0.00 | See FINRA Report |
| Basil David Herzstein | 2247685 | 1 | 01/08/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Louis James Nuchereno | 2485071 | 1 | 11/21/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth David Kohn | 1575332 | 2 | 11/20/2006 | Customer Dispute | Settled | $181,000.00 | $0.00 | See FINRA Report |
| David Charles Ott | 2304585 | 1 | 11/06/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Henry Redwine | 830930 | 1 | 11/02/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |