Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Riggs (Riggs), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Riggs recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,000,000.00 on December 15, 2020.
Claimants allege that Mr. Riggs recommended alternative investments that were unsuitable.