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 […]

One or more investors possibly experienced losses because of securities broker Michael Jeffrey Rea [CRD: 4768423, Williamsville, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Rea has worked for Equitable Advisors LLC since May 15, 2007, as a broker and since May 16, 2008, as an investment adviser. Read below […]

Investors potentially incurred losses because of securities broker Neal Edward Hayias [CRD: 854703, Melville, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Hayias has worked for Equitable Advisors LLC since June 1, 2005, in a broker capacity and since August 29, 2008, as an investment adviser […]

Investors possibly experienced sales practice violations by securities broker John Howley Whalen [CRD: 1900188, Honolulu, Hawaii], according to public information on FINRA BrokerCheck. Evidently, Whalen has been registered with Commonwealth Financial Network in Honolulu, Hawaii, since May 29, 2015, and concurrently as an investment adviser representative with the same firm since June 2, 2015. Previously, […]

Investors might have sustained losses due to securities broker Kenneth Thomas Shotsberger (also known as Ken Shotsberger) [CRD: 6186517, Deerfield, Illinois], according to publicly available information on FINRA BrokerCheck. Notably, Kenneth Shotsberger worked for Equitable Advisors LLC from September 8, 2017 to April 29, 2024. Keep reading to find out more about the securities broker’s […]

Investors potentially experienced losses because of securities broker Walter Hugh Brown [CRD: 2520963, Melville, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Brown worked for American Portfolios Advisors Inc. in Holbrook, New York, and American Portfolios Financial Services Inc. in Hauppauge, New York, from September 26, […]

Investors potentially experienced sales practice violations due to securities broker Edward Charles Fredericks [CRD: 2202730, Milford, Connecticut], according to disclosures on FINRA BrokerCheck. It appears that Fredericks has worked for Equitable Advisors LLC since June 1, 2005, working out of both Milford and Stratford, Connecticut. Keep reading to learn more about the disclosures involving Fredericks […]

Investors potentially experienced sales practice violations due to securities broker Ronald Hicks [CRD: 716765, Williamsville, New York], according to publicly available disclosures on FINRA BrokerCheck. Evidently, Ronald Hicks worked for Equitable Advisors LLC from October 20, 1980, to February 15, 2024. Below, investors can review details about the disclosures involving Ronald Hicks. Equitable Advisors Investor […]

Investors potentially experienced sales practice violations due to securities broker Terrell Todd Bowman (also known as Terrell Bowman) [CRD: 7382551, Falls Church, Virginia], according to publicly available information through FINRA’s BrokerCheck. Evidently, Terrell Bowman worked for Equitable Advisors LLC from June 30, 2021, to August 11, 2023. Keep reading to find out more about the […]