Articles Tagged with Emerson Equity LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marilee Hill (Hill), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hill 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 $500,000.00 on February 18, 2026.

Breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of federal securities laws, violation of state securities act and violation of Best Interest Obligations. Investment made in or around 2018.

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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 one disclosable event. These events include one customer complaint, 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 with a damage request of $251,875.00 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 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 $3,009,237.88 on February 19, 2026.

Breach of contract; violation of securities laws and Regulation Best Interest (2019)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zhi Ying Guan (Guan), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guan 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 $50,000.00 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 Ronald Cole (Cole), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cole 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 $950,000.00 on April 07, 2026.

Breach of fiduciary duty, negligence, violation of Reg BI

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

FINRA BrokerCheck shows a pending customer complaint on March 30, 2026.

Breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of federal securities laws and violation of Regulation Best Interest. Investments placed in or around 2/2017

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Chapin (Chapin), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chapin 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 April 10, 2026.

Negligence, Breach of fiduciary duty,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rhett Grimes (Grimes), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grimes 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 $800,000.00 on April 15, 2026.

Suitability and misrepresentation

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Previously financial advisor Jay Riggs (Riggs), previously employed by brokerage firm Emerson Equity LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,000,000.00 on December 15, 2020.

Claimant alleges that Mr. Riggs recommended private placements and Non-Traded REITs that were not suitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Staverosky (Staverosky), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Staverosky 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 March 06, 2026.

Suitability; misrepresentations and omissions; breach of fiduciary duty; breach of contract; negligence and violation of the California Securities Act and Federal securities laws. August 2022

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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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