Emerson Equity LLC

There are Recent Customer Complaints with Broker Timothy Sherer in Firm Emerson Equity LLC

December 22, 2025 | 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 on October 03, 2025.

Breach of Contract and warranties, promissory estoppel; consumer protection and deceptive trade practices act; Violations of securities statutes; negligence and gross negligence; misrepresentation and negligent misrepresentation; Breach of fiduciary duty; Unjust enrichment; vicarious and joint and severable liability; Violation of Regulation Best Interest.

There are Recent Customer Complaints with Broker Douglas Zator in Firm Emerson Equity LLC

December 20, 2025 | by Staff Attorney

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 on October 23, 2025.

Breach of contract and warranties, promissory estoppel; violation of 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 James Mcpherson in Firm Emerson Equity LLC

December 20, 2025 | 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 on October 22, 2025.

Breach of fiduciary duty; violation of Regulation Best Interest; negligence; violation of FINRA rules; negligent misrepresentation; common law fraud; violation of the Florida Securities and Investor Protection Act under FLA. Stat. 517.301.

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

December 20, 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 with a damage request of $100,000.00 on October 20, 2025.

Breach of contract; rescission; breach of fiduciary duty, of failing to act in claimant’s best interests, to deal fairly and honestly with the claimant, to observe fair business practices and equitable principals of trade as embodied in the standards of the securities industry; FINRA Rules, and respondent’s own internal policies, to make only suitable investments and not to knowingly or negligently make material misrepresentations and omissions to Claimant; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of FINRA rules; violation of federal securities laws; violation of California Securities Act; and violation of the Best Interest Obligations (Reg BI)

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

December 20, 2025 | 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 one disclosable event. These events include one customer complaint, 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 October 22, 2025.

Wrongful conduct; breach of fiduciary duty; breach of written contract; constructive fraud; fraud by misrepresentation and omission; violation of state and federal securities laws; FINRA rules of fair practice and Kansas Law

Broker Jeff Webb in Emerson Equity LLC Firm Has Customer Complaint

December 19, 2025 | by Staff Attorney

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

Breach of contract and warranties, promissory estoppel; violation of state securities statutes; violation of Consumer Protection Statutes; vicarious liablity; claims under common law; trades placed sometime in 2020

Broker John Ledesma in Emerson Equity LLC Firm Has Customer Complaint

December 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 12, 2025.

Violation of Federal Securities Laws; Violations of the California Securities Act; Violation of Ohio Securities Act; Breach of Contract; Common Law Fraud; Breach of Fiduciary Duty; Negligence and Gross Negligence 03/2023

There are Recent Customer Complaints with Broker Eric Bell in Firm Emerson Equity LLC

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Bell (Bell), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bell 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 $542,000.00 on July 09, 2025.

Violation of Federal Securities Laws; 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. Trades placed in 2021

Broker Troy Robertson in Emerson Equity LLC Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Robertson (Robertson), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Robertson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 17, 2025.

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

Broker Adam Shipley in Emerson Equity LLC Firm Has Customer Complaint

November 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 03, 2025.

Breach of contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violations of securities statutes, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest.