The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Philip Smith (also known as Phillip Norris Smith) (CRD:  2833891, New York, NY). Evidently, investors disputed the sales practices of the securities broker, who worked for Equitable Advisors LLC. Additionally, the securities broker discloses a regulatory enforcement action. Notably, these disclosures allege Smith […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker James Simpson [CRD: 424828, Toledo, Ohio]. Evidently, investors disputed the sales practices of the securities broker, who worked for Equitable Advisors LLC. Additionally, the securities broker disclosed a regulatory enforcement action. Read on to learn more about the allegations against Simpson. Equitable Advisors […]

Soreide Law Group is investigating possible investor claims against securities broker Kaising Victor Lui (also known as Kai Lui) [CRD: 5898825, New York, New York]. Evidently, Equitable Advisors LLC permitted Lui to resign, and a client complained about him. Here is a brief summary of Equitable Advisors LLC’s allegations against Lui. Equitable Advisors LLC Terminates […]

Investors have come forward with complaints about securities broker Edgar Kleydman AKA Edgar A. Kleydman [CRD#: 2727571, Brooklyn, NY]. Evidently, the securities broker, who worked for Equitable Advisors, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Equitable Advisors clients allege that Kleydman acted unethically, breached a fiduciary duty, made unsuitable transactions, breached […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Camille Cordova [CRD #: 6734084, Glendale, CA]. Cordova worked for NYLife Securities LLC from 2019-2022 and AXA Advisors LLC from 2007-2019. Evidently, an Equitable Advisors investor disputed Cordova’s sales practices. Additionally, the securities broker discloses a regulatory action resulting in […]

The Financial Industry Regulatory Authority (FINRA) BrokerCheck report on Lisa Ann Brumm, aka Lisa Ann Moon (CRD#: 2834764, Portland, Oregon), contains two investor disputes and a regulatory action. Supposedly, the investor disputes from 2017-2019 concern Brumm's registrations at AXA Advisors, who is now known as Equitable Advisors. The regulatory action, which FINRA brought in 2021, […]

Securities Broker Donald Sperring (AXA Advisors, Equitable Advisors) Barred, Involved In Client Disputes The Financial Industry Regulatory Authority (FINRA) contains important information on securities broker Donald George Sperring (CRD#: 2462982, Pittsburgh, Pennsylvania). Specifically, BrokerCheck shows that Sperring is involved in three investor disputes. Not only that, but he also received a FINRA bar (expulsion) in […]

Broker Jenna Kang (Equitable Advisors) Barred By FINRA, Accused Of Unauthorized Transactions By Investors Soreide Law Group is investigating bringing potential investor disputes against securities broker Jenna Kang (“Jihye Kang”) (CRD#: 6334679, Los Angeles, CA). Notably, FINRA barred Kang in October 2020 because she allegedly failed to comply with an investigation. Not only that, but […]

Equitable Advisors' Ryan Ott Suspended, Facing Investor Disputes Soreide Law Group has come across some important information relating to Ryan James Ott (CRD#: 6173815, Woodbridge, New Jersey). Notably, FINRA suspended Ott on August 23, 2021. It will potentially bar him by November 1, 2021, if he fails to either cooperate with its inquiry or get […]