Emerson Equity LLC

There are Recent Customer Complaints with Broker Brian Nelson in Firm Emerson Equity LLC

April 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Nelson (Nelson), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Nelson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 24, 2024.

Unsuitable, breach of fiduciary duty, common law fraud, breach of contract

There are Recent Customer Complaints with Broker Peter Po in Firm Emerson Equity LLC

April 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Po recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.01 on March 12, 2025.

Breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of federal securities laws; violation of California Securities Act; violation of regulation BI; investment done in Feb. 2020

Broker Rawney Mcvaney in Emerson Equity LLC Firm Has Customer Complaint

April 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rawney Mcvaney (Mcvaney), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcvaney recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,000,000.00 on August 19, 2024.

Unlawful Overconcentration, breach of fiduciary duty, suitability, violation of FINRA Rule 2210, fraudulent misrepresentation and omissions, violation of FINRA Rules 2010, IM-2310-2, and 2020, breach of contract,

There are Recent Customer Complaints with Broker Andrea Bulow in Firm Emerson Equity LLC

March 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrea Bulow (Bulow), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bulow recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $10,000.00 on October 08, 2024.

Statement of claim indicates breach of contract, breach of fiduciary duty, failure to supervise, negligence and gross negligence, and violation of Best Interest obligation. Bonds purchased during 2019-2020.

There are Recent Customer Complaints with Broker Shirley Wong in Firm Emerson Equity LLC

March 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Wong (Wong), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wong recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on February 12, 2025.

Violations of Federal Securities Laws, Violations of California securities laws, California unfair, unlawful and fraudulent business practices, Violation of California’s financial elder abuse law, Breach of contract, Common law fraud, Breach of fiduciary duty, Negligence and Gross negligence, 05/2020

There are Recent Customer Complaints with Broker Jeffrey Noard in Firm Emerson Equity LLC

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Noard (Noard), previously associated with Emerson Equity LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Noard recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,900,000.00 on September 11, 2024.

Claimants allege material misrepresentation and omissions, failure to conduct reasonable due diligence, violation of The 1934 SEC Act, FINRA Rule 3111, negligence and gross negligence, violation of The Wisconsin Securities Act, and violation of Regulation Best Interest with regard to the various purchases of GWG L-Bonds from

Broker Gregory Ritter in Emerson Equity LLC Firm Has Customer Complaint

March 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Ritter (Ritter), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ritter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $135,000.00 on September 26, 2024.

Breach of fiduciary duty, Negligence, violation of regulation Best Interest, violation of securities rules and regulations.

There are Recent Customer Complaints with Broker Lei Shen in Firm Emerson Equity LLC

March 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lei Shen (Shen), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $440,000.00 on October 01, 2024.

Alleges investment not suitable

There are Recent Customer Complaints with Broker Robert Melberth in Firm Emerson Equity LLC

March 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Melberth (Melberth), previously associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Melberth recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 24, 2024.

Time frame: 01/2018 – 02/2020. Claimant alleges breach of fiduciary duty; unsuitable investment recommendation, and negligence.

Broker Tony Barouti in Emerson Equity LLC Firm Has Customer Complaint

March 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tony Barouti (Barouti), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barouti recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 23, 2025.

Violations of Federal Securities Laws, fraud in offer or sale of securities, fraud in connection with the purchase of sale of securities, Violations of California Securities Laws, unsuitable recommendations, misrepresentations and omissions of material fact, California Unfair, Unlawful and Fraudulent Business Practices, Violation of California’s Financial Elder Abuse Law, Violation of Washington’s Securities Act, Violation of Washington’s Consumer Protection Act, Violation of the Colorado Securities Act, Violation of Colorado Consumer Protection Act, Breach of Contract, Common Law Fraud, Breach of Fiduciary Duty, Negligence and Gross Negligence, 11/2019, 09/2020 and 11/2020