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 |
|---|---|---|---|---|---|---|---|---|
| Lester Edward Gallagher | 4938881 | 1 | 04/29/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sidney Ma | 4261875 | 1 | 04/24/2002 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Daniel A Basileo | 2130195 | 4 | 04/24/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Martin Tabman | 2456989 | 3 | 04/11/2002 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| James Gibbs | 3273705 | 6 | 04/09/2002 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Walter Clifton Shirley | 422355 | 4 | 04/03/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Edward Lloyd | 1549397 | 1 | 04/03/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Steven McManus | 329682 | 2 | 04/03/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Winthrop | 2445102 | 5 | 03/07/2002 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Douglas Lloyd Roselieb | 1818572 | 3 | 02/26/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |