Articles Tagged with Emerson Equity LLC

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

FINRA BrokerCheck shows a pending customer complaint on March 09, 2026.

Breach of contract, violation of state securities statutes, Violation of Regulation Best Interest, vicarious liability, breach of fiduciary duty

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher 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 11, 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 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 with a damage request of $320,000.00 on March 11, 2026.

Breach of contract; violation of securities laws and Regulation Best Interest. Purchase made in or around 2022

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

FINRA BrokerCheck shows a pending customer complaint on March 23, 2026.

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

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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 one disclosable event. These events include one customer complaint, 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 March 23, 2026.

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

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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 3 disclosable events. These events include 3 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 with a damage request of $150,000.00 on March 23, 2026.

Breach of contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of the state securities act and federal securities laws, violation of Regulation Best Interest Obligations. Investment made in or around July 2024

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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 2 disclosable events. These events include 2 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 on March 26, 2026.

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

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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 $280,000.00 on March 31, 2026.

Negligence, negligent misrepresentation and omission, breach of fiduciary duty, breach of contract, violation of Regulation Best Interest, federal securities laws, California Corporations Code violations, California common law, FINRA rule 2111 and 2010. Investment purchased 4/14/2022

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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 2 disclosable events. These events include 2 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 April 02, 2026.

Breach of fiduciary duty, negligence and negligent misrepresentation, breach of contract, overconcentration (negligence and breach of fiduciary duty), violation of Regulation Best Interest. Investments purchased between 2019 and 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Finch (Finch), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Finch 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 $676,000.00 on April 16, 2026.

Breach of fiduciary duty, constructive fraud, negligence and negligence per se, Violations of the Colorado Securities Act, breach of contract. Investments made between 2021 – 2025

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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
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#1
Montclair, NJ 07042
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