Articles Tagged with Emerson Equity LLC

| by

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

FINRA BrokerCheck shows a pending customer complaint on April 20, 2026.

Breach of contract and warranties, promissory estoppel, violation of Consumer Protection and Deceptive Trade Practices Act, Violation of securities statues, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest

Continue Reading

| by

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 $200,000.00 on April 29, 2026.

Suitability

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Sneckner (Sneckner), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sneckner 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 $656,267.57 on February 19, 2026.

Breach of contract; violation of securities laws and Regulation Best Interest

Continue Reading

| by

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 with a damage request of $200,000.00 on February 19, 2026.

Breach of contract; violation of securities laws and Regulation Best Interest.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Gougis (Gougis), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gougis 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 $698,000.00 on February 16, 2026.

Breach of contract, violation of securities laws and Regulation Best Interest(2022)

Continue Reading

| by

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.

Continue Reading

| by

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

Continue Reading

| by

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)

Continue Reading

| by

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

Continue Reading

| by

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

Continue Reading
Contact Information
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
ATTORNEY ADVERTISING

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design