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 |
|---|---|---|---|---|---|---|---|---|
| Frank Caputo | 1635313 | 1 | 03/31/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael A Tancorra | 5870879 | 1 | 03/25/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Miura | 5907391 | 1 | 03/20/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Susana Castro | 4549665 | 2 | 03/16/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Mosslih | 4662400 | 4 | 03/09/2020 | Customer Dispute | Settled | $86,078.00 | $0.00 | See FINRA Report |
| Jerry Lawrence Goldblum | 2362993 | 3 | 03/09/2020 | Customer Dispute | Settled | $26,212.00 | $0.00 | See FINRA Report |
| Danny Shiva Sookram | 6113338 | 1 | 03/09/2020 | Customer Dispute | Settled | $86,078.00 | $0.00 | See FINRA Report |
| James Gerald Lewis | 6179013 | 2 | 03/05/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Phillip Richard Fiore | 6278382 | 1 | 02/26/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Dean Cook | 6591894 | 2 | 02/26/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |