Articles Tagged with Emerson Equity LLC

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

FINRA BrokerCheck shows a pending customer complaint on April 20, 2026.

Breach of contract and warranties, promissory estoppel, violation of Consumer Protection and Deceptive Trade Practices Act, Violation of securities statues, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest

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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 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 with a damage request of $200,000.00 on April 29, 2026.

Suitability

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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 $656,267.57 on February 19, 2026.

Breach of contract; violation of securities laws and Regulation Best Interest

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Zator (Zator), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zator 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 $200,000.00 on February 19, 2026.

Breach of contract; violation of securities laws and Regulation Best Interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Gougis (Gougis), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gougis 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 $698,000.00 on February 16, 2026.

Breach of contract, violation of securities laws and Regulation Best Interest(2022)

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Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
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