Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryan Emerson (Emerson), currently associated with Cim Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Emerson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on June 14, 2024.
Suitability, Breach of Contract, Account Negligence/Supervision.
