Emerson Equity LLC

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

February 13, 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 Fred Chen in Firm Emerson Equity LLC

February 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fred Chen (Chen), currently associated with Emerson Equity LLC, has at least 4 disclosable events. These events include 4 customer complaints, 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 $300,000.00 on December 11, 2024.

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 the california securities act and violation of best interest obligations. June 2020

There are Recent Customer Complaints with Broker Peter Po in Firm Emerson Equity LLC

February 2, 2025 | 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 12 disclosable events. These events include 12 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 $400,000.00 on November 27, 2024.

Breach of contract, breach of fiduciary duty, negligence and gross negligence, violation of Best Interest obligation in connection with corporate bonds purchased during 2019-2020.