Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Gougis (Gougis), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gougis 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 $698,000.00 on February 16, 2026.
Breach of contract, violation of securities laws and Regulation Best Interest(2022)