Articles Tagged with Emerson Equity LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Sherer (Sherer), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sherer 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 $1,154,855.68  on May 05, 2026.

Suitability, violation of Regulation Best Interest, misrepresentations and omission of material facts, negligence, breach of fiduciary duty. Investments done in or around 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Smith (Smith), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $225,000.00  on May 14, 2026.

Alleging failure to supervise, negligence, breach of fiduciary duty, & misrepresentation of investments purchased in 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Finch (Finch), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Finch 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 $141,146.99  on May 18, 2026.

Negligence, misrepresentation and omissions of material facts, breach of fiduciary duty, violation of Regulation Best Interest (Reg BI), federal securities laws, California Corporations Code, California common law and FINRA Rules 2111 and 2010. Investments purchased 7/21/2022

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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 4 disclosable events. These events include 4 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 with a damage request of $400,000.00  on May 18, 2026.

Breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of the Virginia and Wisconsin Securities Acts and federal securities laws and violation of Best Interest Obligations (Reg BI) traded placed in or around March 2022 for $150,000.00

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Po 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 $229,600.00  on May 26, 2026.

Claims breach of contract, breach of fiduciary duty, negligence, etc. For purchase of three products during 2017, 2023, and 2024. One of the issuers recently declared bankruptcy, and one issuer ceased paying income.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Sherer (Sherer), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sherer 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 $1,154,855.68 on May 05, 2026.

Suitability, violation of Regulation Best Interest, misrepresentations and omission of material facts, negligence, breach of fiduciary duty. Investments done in or around 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Smith (Smith), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Smith 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 $1,100,000.00 on May 20, 2026.

Breach of written contract, compensatory damages, 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 Obligations (RegBI)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Melberth (Melberth), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Melberth 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 $140,000.00 on April 21, 2026.

Breach of fiduciary duty, violation of FINRA/NYSE rules, Reg BI, breach of contract, negligence, Violation of the Securities Act and Regulations, Fraudulent inducement to hold investment,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Po 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 $100,000.00 on April 21, 2026.

Breach of contract and warranties, promissory estoppel, violations of consumer protection and deceptive trade practices act, violation of Securities statutes, breach of fiduciary duty, vicarious liability, violation of Regulation Best Interest

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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 April 23, 2026.

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

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