Emerson Equity LLC

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

March 21, 2025 | 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 5 disclosable events. These events include 5 customer complaints, 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 $3,900,000.00 on September 11, 2024.

Claimants allege material misrepresentation and omissions, failure to conduct reasonable due diligence, violation of The 1934 SEC Act, FINRA Rule 3111, negligence and gross negligence, violation of The Wisconsin Securities Act, and violation of Regulation Best Interest with regard to the various purchases of GWG L-Bonds from

Broker Gregory Ritter in Emerson Equity LLC Firm Has Customer Complaint

March 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Ritter (Ritter), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ritter 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 $135,000.00 on September 26, 2024.

Breach of fiduciary duty, Negligence, violation of regulation Best Interest, violation of securities rules and regulations.

There are Recent Customer Complaints with Broker Lei Shen in Firm Emerson Equity LLC

March 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lei Shen (Shen), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shen 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 $440,000.00 on October 01, 2024.

Alleges investment not suitable

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

March 8, 2025 | by Staff Attorney

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 2 disclosable events. These events include 2 customer complaints, 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 on October 24, 2024.

Time frame: 01/2018 – 02/2020. Claimant alleges breach of fiduciary duty; unsuitable investment recommendation, and negligence.

Broker Tony Barouti in Emerson Equity LLC Firm Has Customer Complaint

March 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 23, 2025.

Violations of Federal Securities Laws, fraud in offer or sale of securities, fraud in connection with the purchase of sale of securities, Violations of California Securities Laws, unsuitable recommendations, misrepresentations and omissions of material fact, California Unfair, Unlawful and Fraudulent Business Practices, Violation of California’s Financial Elder Abuse Law, Violation of Washington’s Securities Act, Violation of Washington’s Consumer Protection Act, Violation of the Colorado Securities Act, Violation of Colorado Consumer Protection Act, Breach of Contract, Common Law Fraud, Breach of Fiduciary Duty, Negligence and Gross Negligence, 11/2019, 09/2020 and 11/2020

There are Recent Customer Complaints with Broker Bruce Beetz in Firm Emerson Equity LLC

March 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 23, 2025.

Violations of Federal Securities Laws, fraud in offer or sale of securities, fraud in connection with the purchase of sale of securities, Violations of California Securities Laws, unsuitable recommendations, misrepresentations and omissions of material fact, California Unfair, Unlawful and Fraudulent Business Practices, Violation of California’s Financial Elder Abuse Law, Violation of Washington’s Securities Act, Violation of Washington’s Consumer Protection Act, Violation of the Colorado Securities Act, Violation of Colorado Consumer Protection Act, Breach of Contract, Common Law Fraud, Breach of Fiduciary Duty, Negligence and Gross Negligence, 11/2020 and 11/2021

There are Recent Customer Complaints with Broker Shirley Wong in Firm Emerson Equity LLC

March 5, 2025 | by Staff Attorney

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 5 disclosable events. These events include 5 customer complaints, 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 $5,000.00 on January 29, 2025.

Claimants allege breach of contract, negligence, Reg BI violations relating to purchase in 2020 of GWG corporate bonds of which the issuer subsequently filed bankruptcy.

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

March 3, 2025 | by Staff Attorney

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 2 disclosable events. These events include 2 customer complaints, 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 on October 24, 2024.

Time frame: 01/2018 – 02/2020. Claimant alleges breach of fiduciary duty, unsuitable investment recommendation, and negligence.

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

February 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Blackman (Blackman), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blackman 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 $60,000.00 on November 08, 2024.

Violations of federal securities laws, unlawful and fraudulent business practices, violations of the Colorado securities act, violation of Colorado consumer protection act, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence,

There are Recent Customer Complaints with Broker Tony Barouti in Firm Emerson Equity LLC

February 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tony Barouti (Barouti), currently associated with Emerson Equity LLC, has at least 27 disclosable events. These events include 27 customer complaints, alleging that Barouti recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 23, 2024.

Breach of contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violation of state securities statutes, fraud, breach of fiduciary duty, negligence and gross negligence, misrepresentation/omission and negligent misrepresentation/omission, unjust enrichment, common law, statutory claims and damages, vicarious and control person liability.