Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Waal (Waal), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Waal recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on September 09, 2025.
Violation of Common Law Fraud, Breach of Fiduciary Duty, Negligence