Emerson Equity LLC

Broker Dan Werry in Emerson Equity LLC Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dan Werry (Werry), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Werry recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 31, 2025.

Breach of contract and warranties, promissory estoppel; violation of fraud and estate securities statutes and the deceptive practices act (DTPA); claims under common law; vicarious liability;

There are Recent Customer Complaints with Broker William Sneckner in Firm Emerson Equity LLC

April 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Sneckner (Sneckner), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sneckner 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 $150,000.00 on January 13, 2026.

Compensatory damages; breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA Rules; violation of the state securities act and federal securities laws; and violation of the Best Interest Obligation. Investment placed around July 2024

There are Recent Customer Complaints with Broker Bradley Davidson in Firm Emerson Equity LLC

April 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Davidson (Davidson), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davidson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 27, 2026.

Violations of federal securities laws, violation of California securities laws, California unfair, unlawful and fraudulent business practices, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence., investment purchased in 2021

Broker Brian Nelson in Emerson Equity LLC Firm Has Customer Complaint

April 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Nelson (Nelson), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Nelson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 27, 2026.

Violations of federal securities laws, violation of California securities laws, California unfair, unlawful and fraudulent business practices, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence, investment purchased in 2021.

There are Recent Customer Complaints with Broker Patrick Lam in Firm Emerson Equity LLC

April 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Lam (Lam), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lam recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 27, 2026.

Breach of contract and warranties, promissory estoppel; violation of fraud and estate securities statutes and the deceptive practices act (DTPA); violation of Regulation Best Interest; Breach of fiduciary duty; claims under common law; vicarious liability;

Broker Dominic Baldini in Emerson Equity LLC Firm Has Customer Complaint

April 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dominic Baldini (Baldini), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Baldini 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 $643,509.94 on January 27, 2026.

The claim alleges control person liability with respect to an investment which it indicates occurred on 11/3/2021.

There are Recent Customer Complaints with Broker Wen Che in Firm Emerson Equity LLC

April 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wen Che (Che), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Che recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 06, 2026.

Negligence, misrepresentation and omission of material facts, failure to meet suitability obligations, violations of California’s ‘Blue Sky’ law, breach of fiduciary duty, breach of contract

There are Recent Customer Complaints with Broker Gabriel Candea in Firm Emerson Equity LLC

April 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gabriel Candea (Candea), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Candea recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 10, 2026.

Breach of contract and warranties, promissory estoppel; consumer protection and deceptive trade practices act; violation of securities statutes; breach of fiduciary duty; claims under common law; vicarious liability; violation of Regulation Best Interest (Sept 2023)

Broker James Whitson in Emerson Equity LLC Firm Has Customer Complaint

April 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Whitson (Whitson), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Whitson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 10, 2026.

Breach of contract; negligence; negligent misrepresentation; fraud; breach of fiduciary duty; violations of California Corporations Code; violations of the Securities Exchange Act; violations of the California unfair competition law. Trades placed between 2016 and 2017

There are Recent Customer Complaints with Broker Jeffrey Noard in Firm Emerson Equity LLC

April 3, 2026 | by Staff Attorney

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 one disclosable event. These events include one customer complaint, 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 $250,000.00 on February 24, 2026.

Claimants allege Violation of Wisconsin Uniform Securities Act, Fraud/Negligent Misrepresentation, and Negligence with regard to various investment products they purchased from 2019 to 2025.