THOMAS J. NOTO at EQUITABLE ADVISORS, LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 4560521
THOMAS J. NOTO is an Investment Adviser, associated with EQUITABLE ADVISORS, LLC located at DEERFIELD, IL. THOMAS NOTO’s Central Registration Depository (CRD) number is 4560521 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for THOMAS NOTO

    • Event Date: 10/25/2008
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Denied
    • Disclosure Detail :: Allegations: CLIENT ALLEGES SHE PURCHASED A 2008 VARIABLE ANNUITY BASED ON THE AGENT’S REPRESENTATION THAT THE GUARANTEED INTEREST WAS 4%. CLIENT IS REQUESTING THE FIRM TO HONOR THE GUARANTEED 4% INTEREST OVER THE 5 YEAR POLICY TIME SINCE THIS IS WHAT SHE WAS PROMISED. DAMAGES ARE UNSPECIFIED.
    • Arbitration Docket Number:
    • Broker Comment: THE FIRM FOUND NO BASIS TO THE CUSTOMER’S COMPLAINT.
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Should I file a FINRA complaint against brokers like THOMAS J. NOTO?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by THOMAS J. NOTO’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Frequently Asked Questions About THOMAS J. NOTO

What is THOMAS NOTO's Central Registration Depository (CRD) Number?

4560521

Which firm is THOMAS J. NOTO associated with?

EQUITABLE ADVISORS, LLC

Where is THOMAS NOTO located?

520 LAKE COOK ROAD, DEERFIELD, IL, 60015

Where can I find more details about THOMAS NOTO's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/6627 to read a detailed report for EQUITABLE ADVISORS, LLC

Are there any disclosures, allegations or complaints filed against THOMAS J. NOTO?

Yes. There are disclosures, allegations, or complaints filed against THOMAS J. NOTO. Click here to view all details

Where can I download a detailed FINRA report for THOMAS NOTO?

Click here to download a detailed FINRA report for THOMAS NOTO

Is it safe to do business with THOMAS J. NOTO?

We’re not sure. Please research THOMAS NOTO’s disclosures, allegations and complaints before taking a decision

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