Investors potentially experienced sales practice violations by securities broker Norbert Helmut Filian (also known as Norb Filian) [CRD: 2998784, Rolling Meadows, Illinois], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Filian worked for Equitable Advisors LLC beginning February 12, 1998, as a securities broker, and later as a financial advisor starting March 15, 2000. Investors are encouraged to continue reading to learn more about the disclosures involving Filian that have been reported to FINRA.
Evidently, an Equitable Advisors LLC client filed FINRA Arbitration No. 23-03300 regarding Filian. Mainly, the client alleged that Filian made unsuitable recommendations. Because of this, the client allegedly sustained damages related to real estate securities. Consequently, on January 14, 2025, Equitable Advisors LLC settled the matter by paying the client $13,367.14 in damages.
Additionally, a client of Equitable Advisors LLC contested Filian’s sales practices by filing FINRA Arbitration No. 24-01252. Allegedly, Filian made unsuitable recommendations. It appears that Filian caused the client to sustain damages relating to real estate securities. Therefore, Equitable Advisors LLC opted to settle the matter on October 7, 2025, by compensating the client in the amount of $70,000.
Specifically, on April 13, 2022, an Equitable Advisors LLC client filed a complaint about Filian. Primarily, the client alleged that Filian made misrepresentations. For this reason, the client allegedly incurred damages involving real estate investment trusts. As a result, the client requested compensation from Equitable Advisors LLC or Filian. However, the firm denied this complaint on May 10, 2022.
Did you experience losses because of Norbert Filian? You can contact Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients located throughout the United States. Also, the firm works on a contingency fee basis and advances all costs. Filian and the brokerage firms Filian worked for deny accusations of sales practice violations.
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