Last Updated: April 2026 — Miami, FL
Here’s what you need to know about Miami, FL stockbroker Kevin Dooley:
- Name: Kevin Thomas Dooley
- Current Employer: Equitable Advisors, LLC (registered since 1995)
- Prior Firms:
- The Equitable Life Assurance Society of the United States (New York, NY) 1995 – 2000
- Other Business Affiliations:
- Insurance sales through various carriers
- Participation in life settlement transactions through approved brokers
- Private Client Group Integrated Solutions, LLC (consultant)
- Private Client Group, LLC (managing member)
- Dooley Noted, LLC (sole principal)
- CRD Number: 2513153
- Stockbroker / Financial Advisor: Yes
- Can Broker be Sued in FINRA: Yes
- Highest Award or Settlement: $690,000
If you’ve sustained damages from Mr. Dooley, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Kevin Dooley As Your Stockbroker?
Kevin Dooley has been the subject of multiple customer disputes, including several settled matters and a pending arbitration:
- In January 2026, a FINRA arbitration (Case No. 26-00140) was filed alleging that alternative investment recommendations made by Dooley were unsuitable. The matter remains pending, with damages not yet specified.
- In November 2024, FINRA arbitration (Case No. 24-02434) , filed by a cutomer of Equitable Advisors alleged that a REIT investment was unsuitable, resulting in a $75,000 settlement, with Mr. Dooley personally contributing $18,750.
- In November 2023, another FINRA arbitration (Case No. 23-03300) also alleged unsuitable REIT investments, settling for $8,225, with a personal contribution of $8,030.
- In October 2019, FINRA arbitration (Case No. 19-03066) alleged unsuitable recommendations involving REITs, a variable annuity, and managed accounts, along with failure to disclose risks. This case resulted in a $690,000 settlement.
- In September 2021, FINRA arbitration (Case No. 21-02471) alleged unsuitable recommendations in alternative investments, which settled for $98,400.
These repeated allegations—particularly involving REITs, annuities, and alternative investments—may indicate a pattern of recommending complex or higher-risk products that may not have aligned with client objectives.
Allegations of Broker Misconduct Against Kevin Thomas Dooley
- Unsuitability — repeated allegations involving REITs, annuities, and alternative investments may violate FINRA Rule 2111, which requires recommendations to align with a client’s risk tolerance and financial situation.
- Breach of Fiduciary Duty — where advisory services are provided, brokers must act in the client’s best interest, consistent with SEC Regulation Best Interest (Reg BI, Rule 15l-1).
- Fraud / Misrepresentation — allegations that risks were not adequately disclosed may implicate FINRA Rule 2020 and Rule 2010, which prohibit misleading or deceptive practices.
- Failure to Disclose Risks — complex products such as REITs and annuities require clear disclosure of liquidity constraints, fees, and risks; failure to do so can form the basis of investor claims.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Kevin Thomas Dooley, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
- Our Investigations of other Brokers who worked for Equitable Advisors
- Firms We Have Pursued On Behalf of Our Clients
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.