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 |
| John Burns Morris | 849876 | 1 | 02/13/2002 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Charles Nelson Dinklage | 2674824 | 4 | 01/30/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Arnold Frank | 709916 | 10 | 01/28/2002 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Arnold Frank | 709916 | 10 | 01/24/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Vernon Biggs | 1697481 | 3 | 01/01/2002 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Douglas Yeke Wing | 1139548 | 9 | 12/19/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Timothy Desmedt | 1448481 | 1 | 11/28/2001 | Customer Dispute | Settled | $38,136.20 | $0.00 | See FINRA Report |
| Walter Clifton Shirley | 422355 | 4 | 11/20/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Steven McManus | 329682 | 2 | 11/20/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |