Emerson Equity LLC

There are Recent Customer Complaints with Broker Joshua Chapin in Firm Emerson Equity LLC

February 4, 2026 | by Staff Attorney

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 2 disclosable events. These events include 2 customer complaints, 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 on December 18, 2025.

Breach of contract and warranties, promissory estoppel; violation of securities statutes; breach of fiduciary duty; claims under common law; vicarious liability; violation of Regulation Best Interest;

Broker Patrick Lam in Emerson Equity LLC Firm Has Customer Complaint

February 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 19, 2025.

Suitability, trade done sometime around 2022

Broker Tony Barouti in Emerson Equity LLC Firm Has Customer Complaint

February 4, 2026 | 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 December 23, 2025.

Violations of federal securities laws; violations of California Securities Laws; California Unfair, Unlawful and fraudulent business practices; breach of contract; common law fraud; breach of fiduciary duty; negligence and gross negligence, investments purchases between 10/2021 and 11/2021

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

February 3, 2026 | by Staff Attorney

Currently financial advisor Shirley Wong (Wong), currently employed by brokerage firm Emerson Equity LLC has been subject to at least 2 disclosable events. These events include 2 customer complaints. 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 pending customer complaint with a damage request of $500,000.00 on January 06, 2026.

Statement of claim alleges improper suitability of private placement investments for client in 2017. \, Information contained herein was obtained from the U5 amendment filing by NI Advisors.

There are Recent Customer Complaints with Broker Andrew Roberson in Firm Emerson Equity LLC

February 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Roberson (Roberson), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roberson 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 $570,000.00 on January 07, 2026.

Customer alleges the representative recommended and facilitated an unapproved private “solar program” investment, which was unsuitable and involved misrepresentations and omissions, resulting in substantial losses. Customer also alleges inadequate supervision by firm. \, Information contained herein was obtained by the U5 amended filing by Park Avenue Securities.

Broker Bruce Beetz in Emerson Equity LLC Firm Has Customer Complaint

January 5, 2026 | 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 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 on November 03, 2025.

Breach of Fiduciary Duty; Misrepresentations and Omissions; Violation of Nevada Securities Laws; Violation of California Securities Laws. Trades placed between 2017 and 2024

Broker Brian Nelson in Emerson Equity LLC Firm Has Customer Complaint

January 4, 2026 | by Staff Attorney

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 2 disclosable events. These events include 2 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 November 14, 2025.

Breach of fiduciary duty; suitability; fraudulent misrepresentations and omissions; violation of FINRA rules 2010, IM-2310-2, and 2020; breach of contract.

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

January 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Smith (Smith), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, 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 November 06, 2025.

Breach of Fiduciary Duty, Negligence and violation of Regulation Best Interest

Broker Gabriel Candea in Emerson Equity LLC Firm Has Customer Complaint

January 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 18, 2025.

Suitability; Misleading Recommendations; Violation of Reg BI; Misrepresentation and Omissions.

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

January 3, 2026 | 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 November 18, 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 the California Securities Act; violation of Best Interest Obligation