Patrick Pistor Suspended by FINRA for Alleged Failure to Provide Information

Patrick Pistor (CRD #: 7579589), a broker formerly registered with Equitable Advisors, was fired from that firm, according to his BrokerCheck record, accessed on September 6, 2025. Keep reading if you want to know more about his alleged conduct as a broker.

FINRA Suspension

On June 17, 2025, Patrick Pistor received a Letter of Suspension from FINRA alleging that he failed to respond to requests for information. His suspension took effect on July 11, 2025, and will continue until the requested information is provided or it converts to a bar.

FINRA Rule 9552

FINRA Rule 9552 penalizes members who fail to provide documents, information, or testimony requested by FINRA with a suspension. This suspension converts to a bar if the member fails to request an end to their suspension within three months.

Termination from Equitable Advisors

On February 3, 2025, Patrick Pistor was fired from Equitable Advisors following allegations that he failed to comply with firm policy concerning outside business activities.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

FINRA Rule 3270

FINRA Rule 3270 requires brokers to disclose any business activities they engage in outside their firm, as well as any compensation they may receive from these activities.

Background Information

Patrick Pistor has passed the following exams:

• General Securities Representative Examination – Series 7TO
• Securities Industry Essentials Examination – SIE
• Uniform Combined State Law Examination – Series 66
• Uniform Securities Agent State Law Examination – Series 63

He previously worked for Equitable Advisors (CRD#:6627).

Kurta Law Can Help

If you worked with Patrick Pistor and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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.