Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
Investors potentially incurred losses because of securities broker Kevin Thomas Dooley [CRD: 2513153, Miami, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dooley has been registered with Equitable Advisors LLC since May 26, 1995, and he has also been registered as a financial advisor with Equitable Advisors LLC since February 8, 2000. See the following information to learn more about Dooley’s disclosures, as described in FINRA BrokerCheck.
Particularly, on January 20, 2026, an Equitable Advisors client filed FINRA Arbitration No. 26-00140 about Kevin Dooley. Primarily, the client alleged that Dooley made unsuitable recommendations. Because of this, the client allegedly incurred damages related to alternative investments. As a result, the client requested damages in compensation from Equitable Advisors or Dooley. This arbitration is ongoing.
Also, a client of Equitable Advisors contested Kevin Dooley’s sales practices by filing FINRA Arbitration No. 24-02434. Allegedly, Dooley gave unsuitable advice to the client. It appears that Dooley allegedly caused the client to sustain damages linked to real estate investment trusts. Therefore, Equitable Advisors agreed to settle the matter on January 2, 2026, by compensating the client in the amount of $75,000.
Additionally, a client of Equitable Advisors LLC disputed Dooley’s sales practices by filing FINRA Arbitration No. 23-03300. Allegedly, Dooley made unsuitable recommendations. It appears that Dooley allegedly caused the client to sustain damages associated with real estate securities. Consequently, Equitable Advisors LLC opted to settle the matter on January 16, 2025, by compensating the client in the amount of $8,225.52.
Notably, a client of AXA Advisors LLC contested Dooley’s sales practices by filing FINRA Arbitration No. 19-03066. Allegedly, Dooley made unsuitable recommendations and made omissions by failing to adequately disclose investment risks. It appears that Dooley allegedly caused the client to sustain damages connected to variable annuities and REITs. As a result, AXA Advisors LLC agreed to settle the matter on August 3, 2021, by compensating the client in the amount of $690,000.
Do you have concerns or questions regarding investments you made with Kevin Dooley? You can contact Soreide Law Group at (888) 760-6552 or online and talk to a securities lawyer concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, our securities lawyers work on a contingency fee basis and advance all costs. Dooley and brokerage firms Dooley worked for deny accusations of sales practice violations.
Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
A customer dispute that settled for $80,000 on July 16, 2026 is the newest entry on the BrokerCheck report of Stephen Kerutis (CRD 2345517). The clients in that matter alleged unsuitable recommendations, and Truist Investment Services is the firm on the disclosure.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
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