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 |
|---|---|---|---|---|---|---|---|---|
| Dale Edward Swanzer | 2843050 | 9 | 08/26/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Margaret Ann Kurtz | 2056365 | 1 | 07/31/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Clinton Robert Hare | 1050896 | 7 | 07/18/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Frances Patricia Orellana | 5661024 | 4 | 07/03/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Melvin Herman Ursin Jr | 1003918 | 3 | 06/23/2014 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Melvin Herman Ursin Jr | 1003918 | 3 | 06/23/2014 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Ralph Wayne Damren | 60462 | 14 | 06/16/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Arun Bidani | 2230238 | 1 | 06/05/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Bradford Minor | 6002002 | 1 | 05/27/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Mooney | 5558112 | 3 | 05/27/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |