Securities Lawyers Blog
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
