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 |
|---|---|---|---|---|---|---|---|---|
| Robert Peter Petrocine | 707203 | 4 | 07/20/1984 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Paul Gregory Donnelly | 1334127 | 7 | 01/16/1984 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Gregory Donnelly | 1334127 | 7 | 01/16/1984 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Lee Williams | 2068022 | 1 | 11/07/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roy Roland Shadbolt | 1623680 | 1 | 04/28/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frederick A Ries | 4056469 | 1 | 09/06/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joel Kapelson | 5653692 | 1 | 04/01/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Alexander McDonald | 3172062 | 1 | 03/17/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donald Chet Kaplan | 7812828 | 2 | 03/16/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donald Chet Kaplan | 7812828 | 2 | 10/29/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |