Articles Tagged with Emerson Equity LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Getty (Getty), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Getty 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 $435,068.09 on March 19, 2025.

Breach of fiduciary obligations/duties; breach of contract; negligence/professional negligence; violation of regulation BI; violations of Nevada Securities Act; Violations of Nevada laws protecting older or vulnerable persons from abuse, neglect or exploitation; violations of the Nevada deceptive trade practices act; violations federal rules and regulations; general equitable principals that apply in arbitration. Trades done in 2019,2020 and 2021. Allegations against representative Getty would be for suitability. Getty is not a respondent in this matter.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Wong (Wong), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wong 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 March 17, 2025.

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 federal securities laws; violation of the California Securities Act and violation of Best Interest Obligations (Reg BI)

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

FINRA BrokerCheck shows a pending customer complaint on March 24, 2025.

Violation of common law fraud; breach of fiduciary duty; negligence

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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 on June 12, 2024.

Unsuitable recommendations, violation of common law fraud, breach of fiduciary duty, negligence

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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 on June 12, 2024.

Unsuitable recommendations, violation of common law fraud, breach of fiduciary duty, negligence.

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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 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 August 24, 2024.

Unsuitable, breach of fiduciary duty, common law fraud, breach of contract

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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 2 disclosable events. These events include 2 customer complaints, 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 $50,000.01 on March 12, 2025.

Breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of federal securities laws;  violation of California Securities Act; violation of regulation BI; investment done in Feb. 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rawney Mcvaney (Mcvaney), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcvaney 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 $1,000,000.00  on August 19, 2024.

Unlawful Overconcentration, breach of fiduciary duty, suitability, violation of FINRA Rule 2210, fraudulent misrepresentation and omissions, violation of FINRA Rules 2010, IM-2310-2, and 2020, breach of contract,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrea Bulow (Bulow), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bulow 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 $10,000.00  on October 08, 2024.

Statement of claim indicates breach of contract, breach of fiduciary duty, failure to supervise, negligence and gross negligence, and violation of Best Interest obligation. Bonds purchased during 2019-2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Wong (Wong), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wong 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 February 12, 2025.

Violations of Federal Securities Laws, Violations of California securities laws, California unfair, unlawful and fraudulent business practices, Violation of California’s financial elder abuse law, Breach of contract, Common law fraud, Breach of fiduciary duty, Negligence and Gross negligence, 05/2020

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