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 |
|---|---|---|---|---|---|---|---|---|
| Dervinder Singh | 2146392 | 3 | 09/24/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Henry Briscoe Thomas | 1186107 | 2 | 09/18/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Jackson Milton | 3047412 | 1 | 09/13/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Douglas Yeke Wing | 1139548 | 9 | 09/07/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ralph Wayne Damren | 60462 | 14 | 08/31/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Malcolm Rhys Tippins | 2544117 | 1 | 08/28/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alan Stephen Katkin | 2226400 | 3 | 08/28/2007 | Customer Dispute | Settled | $15,167.00 | $0.00 | See FINRA Report |
| Robert Benton Penn | 3225731 | 1 | 08/25/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frank Aloyius Donnelly | 70088 | 2 | 08/22/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Howard Martin Weinstein | 1373062 | 4 | 08/21/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |