Securities Lawyers Blog
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.
