Emerson Equity LLC

There are Recent Customer Complaints with Broker Alexander Staverosky in Firm Emerson Equity LLC

August 20, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 19, 2026.

Compensatory Damages, breach of written contract pursuant to customer agreements, 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, \\tviolation of Regulation Best Interest obligations (Reg BI).\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\, \\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\,

There are Recent Customer Complaints with Broker Robert Zink in Firm Emerson Equity LLC

August 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Zink (Zink), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zink 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 $10,000,000.00 on May 19, 2026.

Compensatory damages, breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA Rules, violation of California Securities Act and federal securities laws and violation of Regulation Best Interest Obligations. Investments made in 2022\,

There are Recent Customer Complaints with Broker James Whitson in Firm Emerson Equity LLC

August 20, 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 final customer complaint on April 30, 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

Broker Timothy Sherer in Emerson Equity LLC Firm Has Customer Complaint

August 20, 2026 | by Staff Attorney

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 $10,000,000.00 on May 19, 2026.

Compensatory damages, breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA Rules, violation of California Securities Act and federal securities laws and violation of Regulation Best Interest Obligations. Investments purchased between 2018 and 2023\,

Broker James Mcpherson in Emerson Equity LLC Firm Has Customer Complaint

August 19, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mcpherson (Mcpherson), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcpherson 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 May 20, 2026.

Violation of Regulation Best Interest, Violation of FINRA Rules 2010, 2111, and 3110; negligence, negligent misrepresentations and omissions of material risks, common law fraud and fraudulent inducement, breach of fiduciary duty, Violations of the Georgia Uniform Securities Act, gross negligence. Investment placed in or around 7/31/2023

There are Recent Customer Complaints with Broker David Waal in Firm Emerson Equity LLC

August 19, 2026 | by Staff Attorney

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 with a damage request of $1,100,000.00 on May 19, 2026.

Compensatory Damages, breach of written contract pursuant to customer agreements, 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, violation of Regulation Best Interest obligations (Reg BI).\\tInvestment purchased 02/2023\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\\t\,

Broker Fred Chen in Emerson Equity LLC Firm Has Customer Complaint

August 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fred Chen (Chen), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chen 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 $500,000.00 on May 28, 2026.

Compensatory damages, breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of California Securities Act and federal securities laws, violation of Regulation Best Interest. Investments placed between 2021 and 2025

Broker Peter Po in Emerson Equity LLC Firm Has Customer Complaint

August 18, 2026 | by Staff Attorney

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 $2,600,000.00 on May 28, 2026.

Compensatory Damages, breach of written contract pursuant to customer agreements, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of state securities acts and federal securities laws, violation of Regulation Best Interest, investment made in 2024\,

There are Recent Customer Complaints with Broker Robert Smith in Firm Emerson Equity LLC

August 18, 2026 | by Staff Attorney

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 3 disclosable events. These events include 3 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 on June 12, 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

There are Recent Customer Complaints with Broker Scott Ozer in Firm Emerson Equity LLC

July 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Ozer (Ozer), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ozer 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 $300,000.00 on March 20, 2020.

Clients allege wrongful conduct, Breach of fiduciary duty, Breach of written contract, Breach of oral contract, Violations of State and Federal Securities Laws. Financial Abuse. The claim alleges the events took place in 2014 (no specific dates were given).