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Brian Simonetti is Facing an Investor Dispute

Brian Simonetti (CRD #: 4162451), a broker registered with Equitable Advisors, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on April 15, 2024. Keep reading if you have questions concerning his alleged conduct. 

Investor Dispute

On December 14, 2023, an investor alleged that Brian Simonetti misappropriated proceeds from a joint investment account. The dispute was denied by the firm, but investors should know that firms can deny disputes without any external review. Investors can still recover their losses following a dispute. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Misappropriation may violate this rule. 

Background Information 

Brian Simonetti has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker and investment adviser in Colorado, Florida, Kansas, Nevada, New Jersey, New York, and South Carolina. 

During his 23 years of experience, Brian Simonetti has registered with the following firms: 

  • Equitable Advisors (CRD #: 6627) 
  • North Ridge Securities Corp. (CRD #: 27098) 
  • NIA Securities (CRD #: 44254) 
  • First Montauk Securities (CRD #: 13755) 

Kurta Law Can Help 

If you have worked with Brian Simonetti and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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