Jan 27, 2023

James Lewis of Equitable Advisors, LLC

DID JAMES GERALD LEWIS CAUSE YOU INVESTMENT LOSSES? James Lewis Of Equitable Advisors, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is James Lewis of Equitable Advisors, LLC? James Lewis (CRD #6179013) who is currently registered with Equitable Advisors, LLC and located in Mishawaka, Indiana is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Equitable Advisors, LLC, James Lewis was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Lewis Customer Complaint James Lewis has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for allegedly misrepresenting the sale of fixed annuities that were funded with previously owned variable annuities. The customer complaint was denied by AXA Advisors and it appears no the further action was taken by the customer. James Lewis Red Flags & Your Rights As An Investor Of course, James Lewis did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Lewis at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether James Lewis has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Equitable Advisors, LLC Due To James Lewis If you have questions about Equitable Advisors, LLC and/or James Lewis and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2023

Howard Owens of Equitable Advisors, LLC

DID HOWARD EDWARD OWENS CAUSE YOU INVESTMENT LOSSES? Howard Owens Of Equitable Advisors, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Howard Owens of Equitable Advisors, LLC? Howard Owens (CRD #5907110) who is currently registered with Equitable Advisors, LLC and located in Irvington, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Equitable Advisors, LLC, Howard Owens was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Howard Owens Customer Complaint Howard Owens has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for failure to disclose inability to access funds placed in a 403(B) Plan involving a variable annuity. The customer complaint was settled by AXA Advisors for an undisclosed amount. Howard Owens Red Flags & Your Rights As An Investor Of course, Howard Owens did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Howard Owens at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Howard Owens has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Equitable Advisors, LLC Due To Howard Owens If you have questions about Equitable Advisors, LLC and/or Howard Owens and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 19, 2023

Herbert Weith, IV formerly with Equitable Advisors, LLC

DID HERBERT C. WHITE CAUSE YOU INVESTMENT LOSSES? Herbert Weith IV Formerly With Equitable Advisors, LLC and Wells Fargo Clearing Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Herbert Weith, IV formerly with Equitable Advisors, LLC? Herbert Weith IV (CRD #5453866) who was formerly registered with Equitable Advisors, LLC and located in Columbia, Maryland, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Equitable Advisors, LLC, Herbert Weith IV was associated with Wells Fargo Clearing Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Herbert Weith IV has had his own regulatory problems. He refused to cooperate with FINRA and an investigation and was permanently barred from any further Association with any FINRA member firm. Herbert Weith IV Customer Complaints Herbert Weith IV has been the subject of 3 customer complaints that we know about to recover investment losses. All 3 customer complaints were settled by Wells Fargo Clearing Services in favor of the investors. Allegations Against Herbert Weith IV A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Herbert Weith IV Red Flags & Your Rights As An Investor Of course, Herbert Weith did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Herbert Weith formerly with Equitable Advisors, LLC and Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Herbert Weith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC and Wells Fargo Clearing Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Equitable Advisors, LLC Due To Herbert Weith IV If you have questions about Equitable Advisors, LLC, Wells Fargo Clearing Services, LLC and/or Herbert Weith and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 16, 2023

Haissam Alrachid Of Equitable Advisors, LLC

DID HAISSAM ALRACHID CAUSE YOU INVESTMENT LOSSES? Haissam Alrachid Of Equitable Advisors, LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Haissam Alrachid Of Equitable Advisors, LLC? Haissam Alrachid (CRD #2245588) who is currently registered with Equitable Advisors, LLC and located in Pasadena, California, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Equitable Advisors, LLC, Haissam Alrachid was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Haissam Alrachid Customer Complaints Haissam Alrachid has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by AXA Advisors in favor of the investor. The other a customer complaint was denied by Equitable Advisors, and to date, the customer is not taking any further action. Allegations Against Haissam Alrachid A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Haissam Alrachid Red Flags & Your Rights As An Investor Of course, Haissam Alrachid did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Haissam Alrachid at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Haissam Alrachid has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Equitable Advisors, LLC Due To Haissam Alrachid If you have questions about Equitable Advisors, LLC and/or Haissam Alrachid and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Nov 4, 2022

David Cohen formerly with AXA Advisors, LLC

DID DAVID ALLAN COHEN CAUSE YOU INVESTMENT LOSSES? David Cohen Formerly With AXA Advisors, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is David Cohen formerly with AXA Advisors, LLC? David Cohen (CRD 4531744) who was formerly registered with AXA Advisors, LLC and located in Rockville, Maryland is a subject of one of our many securities industry sales practice abuse investigations.   David Cohen Customer Complaints David Cohen has been the subject of 3 customer complaints that we know about, 1of those complaints was filed in the last year to recover investment losses. Two of David Cohen’s 3 customer complaints were settled in favor of investors. One of David Cohen’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against David Cohen A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable recommendations related to annuity and life insurance Unsuitable recommendations related to incentive life insurance policy David Cohen took out loans against client’s life insurance policy without authorization David Cohen Red Flags & Your Rights As An Investor Of course, David Cohen did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of David Cohen at AXA Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether David Cohen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at AXA Advisors, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At AXA Advisors, LLC Due To David Cohen If you have questions about AXA Advisors, LLC and/or David Cohen and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Oct 28, 2022

Daniel Beck of Equitable Advisors, LLC

DID DANIEL LEO BECK CAUSE YOU INVESTMENT LOSSES? Daniel Beck Of Equitable Advisors, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Daniel Beck of Equitable Advisors, LLC? Daniel Beck (CRD #6120403) who is currently registered with Equitable Advisors, LLC and located in San Francisco, California is a subject of one of our many securities industry sales practice abuse investigations. Daniel Beck Customer Complaint Daniel Beck has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were about unsuitable variable life insurance product sales. Daniel Beck’s customer complaint was settled in favor of the investors. Daniel Beck Red Flags & Your Rights As An Investor Of course, Daniel Beck did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Daniel Beck at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Daniel Beck has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Equitable Advisors, LLC Due To Daniel Beck If you have questions about Equitable Advisors, LLC and/or Daniel Beck and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Oct 27, 2022

Daniel Venegas of Equitable Advisors, LLC

DID DANIEL CARLOS VENEGAS CAUSE YOU INVESTMENT LOSSES? Daniel Venegas Of Equitable Advisors, LLC Has 3 Customer Complaints For Alleged Broker Misconduct Who is Daniel Venegas of Equitable Advisors, LLC? Daniel Venegas (CRD #1194311) who is currently registered with Equitable Advisors, LLC and located in Irvine, California is a subject of one of our many securities industry sales practice abuse investigations. Daniel Venegas Customer Complaints Daniel Venegas has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Two of Daniel Venegas’ 3 customer complaints were settled in favor of investors. One of Daniel Venegas’ customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Daniel Venegas A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable recommendation of a variable annuity. Failure to disclose all the terms of a variable annuity investment. Daniel Venegas Red Flags & Your Rights As An Investor Of course, Daniel Venegas did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Daniel Venegas at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Daniel Venegas has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Equitable Advisors, LLC Due To Daniel Venegas If you have questions about Equitable Advisors, LLC and/or Daniel Venegas and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jun 27, 2022

Alison Stine of GWN Securities Inc.

DID ALISON NICOLE STINE CAUSE YOU INVESTMENT LOSSES? Alison Stine Of GWN Securities Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Alison Stine of GWN Securities Inc.? Alison Stine (CRD #6148042) who is currently registered with GWN Securities Inc. and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations.  Prior to GWN Securities Inc., Alison Stine was associated with Equitable Advisors, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Alison Stine Customer Complaint Alison Stine has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were Alison Stine forged the signature of another registered representative on account opening documentation and misrepresented an unsuitable Variable annuity.Alison Stine’s customer complaint was settled in favor of the investors. Alison Stine Red Flags & Your Rights As An Investor Of course, Alison Stine did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Alison Stine at GWN Securities Inc. and Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Alison Stine has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at GWN Securities Inc. and Equitable Advisors, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At GWN Securities Inc. Due To Alison Stine If you have questions about GWN Securities Inc., Equitable Advisors, LLC and/or Alison Stine and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jun 27, 2022

Aldo Ochoa of Equitable Advisors, LLC

DID ALDO OCHOA CAUSE YOU INVESTMENT LOSSES? Aldo Ochoa Of Equitable Advisors, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Aldo Ochoa of Equitable Advisors, LLC? Aldo Ochoa (CRD #5139742) who is currently registered with Equitable Advisors, LLC and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Aldo Ochoa Customer Complaint Aldo Ochoa has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Aldo Ochoa made misrepresentations in connection with the sale of a variable annuity. Aldo Ochoa’s customer complaint was denied and, to date, the customer has not taken any further action. Aldo Ochoa Red Flags & Your Rights As An Investor Of course, Aldo Ochoa did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Aldo Ochoa at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Aldo Ochoa has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Equitable Advisors, LLC Due To Aldo Ochoa If you have questions about Equitable Advisors, LLC and/or Aldo Ochoa and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Ian Cook of Equitable Advisors

DID IAN ANDREW COOK CAUSE YOU INVESTMENT LOSSES? Ian Cook Of Equitable Advisors Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ian Cook of Equitable Advisors? Ian Cook (CRD #4970473) who is currently registered with Equitable Advisors and located in Englewood, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Ian Cook Customer Complaints Ian Cook has been the subject of 2 customer complaints that we know about. Both of Ian Cook’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Ian Cook A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged Ian Cook made an unsuitable recommendation in advising the client to move his funds from variable annuities to two investment securities plans. The client also alleged the terms, benefits and charges associated with the annuities and the investment plans were not adequately disclosed. Clients alleged they were never informed by Ian Cook of the ten year waiting period before they could receive the maximum income payments regarding their variable annuities. Ian Cook Red Flags & Your Rights As An Investor Of course, Ian Cook did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ian Cook at Equitable Advisors on alert to review carefully the activity and performance of their accounts and question whether Ian Cook has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Equitable Advisors Due To Ian Cook If you have questions about Equitable Advisors and/or Ian Cook and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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