Equitable Advisors Involved in Investor Suitability Complaint
Kevin Dooley (CRD# 2513153) and Adam Weirich (CRD# 3013630) have received a pending customer complaint alleging they recommended unsuitable alternative investments. According to their FINRA-maintained BrokerCheck reports, accessed on November 27, 2021, Dooley and Weirich are brokers and investment advisers registered with Equitable Advisors in Miami, Florida. Pending Complaint Alleges Suitability Violations FINRA records show […]
Equitable Advisors Rep Indicted on Fraud Charges, Barred by FINRA
James Simpson (CRD# 424828), an Ohio based Equitable Advisors rep, has been barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm. According to his FINRA BrokerCheck report, last accessed on November 23, 2021, Mr. Simpson was most recently a representative of Equitable Advisors, which […]
Equitable Advisors Fined By FINRA Over Customer Settlement Agreements
When brokerage firms enter into settlements with customers, firms are prohibited from conditioning those settlements on the customer agreeing to expungement. The prohibition is contained in FINRA Rule 2081. Here is a copy of the Acceptance, Waiver and Consent entered into with Equitable Advisors. Do You Have a Complaint About Equitable Advisors? Notice: JavaScript is […]