Did you suffer investment losses with Equitable Advisors (f/k/a AXA Advisors) (CRD# 6627) (SEC# 801-14065, 8-17883)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Equitable Advisors (f/k/a AXA Advisors). If you suffered losses investing with Equitable Advisors (f/k/a AXA Advisors), then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
As of June 6, 2020, Equitable Advisors (f/k/a AXA Advisors)’s FINRA BrokerCheck Report contains the following:
25 Regulatory Event Disclosures
11 Arbitration Disclosures
Main Office Location
1290 AVENUE OF THE AMERICAS
NEW YORK, NY 10104
UNITED STATES
Mailing Address
1290 AVENUE OF THE AMERICAS
16TH FLOOR
NEW YORK, NY 10104
UNITED STATES
Business Telephone Number
212-314-4600
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Equitable Advisors (f/k/a AXA Advisors)’s Direct Owners and Executive Officers
EQUITABLE DISTRIBUTION HOLDING CORPORATION, MEMBER
BONADONNA, MARYJEAN ELIZABETH (CRD#:3199562), CHIEF RISK OFFICER
BOYLAN, PATRICIA AGNES (CRD#:3231492), BROKER DEALER CHIEF COMPLIANCE OFFICER
BROWNING, RALPH EDWARD II (CRD#:6914526), CHIEF PRIVACY OFFICER
CANNON, CHRISTIAN JAMES, VICE PRESIDENT AND GENERAL COUNSEL
COE, ADAM JAMES, DIRECTOR
HERRMANN, RONALD PAUL (CRD#:1762134), DIRECTOR
JONES, GINA MARIE, VICE PRESIDENT AND FINANCIAL CRIME OFFICER
KARR, DAVID WHITCOMB (CRD#:1852445), CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER
LANE, NICHOLAS BURRITT (CRD#:4994948), DIRECTOR
LANK, STEPHEN (CRD#:2997028), CHIEF OPERATIONS OFFICER
LARUSSA, CHRISTOPHER JOHN (CRD#:4728315), INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER
MASSA, FRANK ANGELO JR (CRD#:2241858), PRESIDENT/DIRECTOR
MCGRATH, MELISSA MICHELLE (CRD#:4049414), PRINCIPAL OPERATIONS OFFICER
MELLIN, JAMES PATRICK (CRD#:1859557), CHIEF SALES OFFICER
PENNELL, PAGE HOWARD (CRD#:2031037), VICE PRESIDENT
SARFATTI, AARON JOSEPH (CRD#:6991391), DIRECTOR
SCAPPATOR, CANDACE LYNN (CRD#:4697607), CONTROLLER/FINOP/PRINCIPAL FINANCIAL OFFICER
SMITH, JANE LYNN (CRD#:2158938), ASSISTANT VICE PRESIDENT
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Due Diligence Requirement
FINRA requires broker-dealers to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. FINRA Rule 2111(a) states that “a member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile. A customer’s investment profile includes, but is not limited to, the customer’s age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information the customer may disclose to the member or associated person in connection with such recommendation.”
Rule 2111 is composed of three main obligations: reasonable-basis suitability, customer-specific suitability, and quantitative suitability. Broker-Dealers that fail to conduct adequate due diligence on investments they recommend or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Request a Free Consultation with a Securities Attorney
If you suffered losses investing with Equitable Advisors (f/k/a AXA Advisors) and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
Formerly Known As, Aliases, and Affiliates
EQ FINANCIAL CONSULTANTS, INC., EQUICO SECURITIES, INC., EQ FINANCIAL CONSULTANTS, INC., EQUICO SECURITIES, INC.
