Articles Tagged with Equitable Advisors

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Reich (Reich), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reich recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on April 07, 2025.

Client alleges the RR made misrepresentations in connection with variable annuities purchased in 2019 and 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Hicks (Hicks), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hicks recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on April 07, 2025.

Client alleges the RR made misrepresentations in connection with variable annuities purchased in 2019 and 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Shotsberger (Shotsberger), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shotsberger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on April 24, 2025.

Client alleges RR Shotsberger made misrepresentations in connection with the replacement of a variable life insurance policy in 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Browning (Browning), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Browning recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $230,000.00 on April 03, 2024.

Misrepresentation

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Landis (Landis), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Landis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $14,075.00 on May 08, 2024.

Customer alleges RR forged her signature to complete an internal transfer of funds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terrell Bowman (Bowman), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bowman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on June 21, 2024.

Customer alleges misrepresentation of surrender penalties for VA sold in 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tiffany Osman (Osman), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Osman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on June 21, 2024.

Customer alleges misrepresentation of surrender penalties for VA sold in 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Nowakowski (Nowakowski), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nowakowski recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $190,000.00 on March 03, 2025.

The customer alleges unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maurice Gelfo (Gelfo), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gelfo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on March 05, 2025.

Customer alleges the RR misrepresented sales fees and surrender penalties for VUL Policy sold in 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chun Elmejjad (Elmejjad), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Elmejjad recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $25,000.00 on March 18, 2025.

Beneficiary alleges RR Elmejjad misappropriated funds in connection with a loan that the RR accepted from the client.

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295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
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