Emerson Equity LLC

Broker Robert Smith in Emerson Equity LLC Firm Has Customer Complaint

September 23, 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 settled customer complaint on February 01, 2023.

Complaint is alleging suitability concerns relating to investments made in November 2019

There are Recent Customer Complaints with Broker Darrach Bourke in Firm Emerson Equity LLC

September 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 08, 2023.

Breach of fiduciary duty, Negligence and Negligent misrepresentation, Breach of contract, Negligence-Violation of best interest

Broker James Kent in Emerson Equity LLC Firm Has Customer Complaint

September 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $90,000.00 on March 14, 2023.

Violations of federal securities laws, fraud, violations of Georgia securities act, unsuitable recommendations, misrepresentations, omissions of material fact, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence

Broker Eric Dec in Emerson Equity LLC Firm Has Customer Complaint

September 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $125,000.00 on March 14, 2023.

Violations of Federal Securities Laws, fraud, violations of the Georgia securities act, unsuitable recommendations, misrepresentations and omission of material fact, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence.

Broker Peter Po in Emerson Equity LLC Firm Has Customer Complaint

September 3, 2025 | by Staff Attorney

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 July 30, 2025.

Statement of claim alleges breach of contract, breach of fiduciary duty, etc., regarding two client households purchasing corporate bonds during 2018-2020. The issuing company subsequently declared bankruptcy and proceedings are continuing.

There are Recent Customer Complaints with Broker John Barrett in Firm Emerson Equity LLC

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Barrett (Barrett), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barrett 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 $166,056.00 on July 09, 2025.

Unsuitable investment 2017

There are Recent Customer Complaints with Broker Helen Lin in Firm Emerson Equity LLC

August 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on September 19, 2022.

Negligence; Breach of Fiduciary Duty

There are Recent Customer Complaints with Broker Brian Nelson in Firm Emerson Equity LLC

August 17, 2025 | 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 June 10, 2025.

Violation of common law fraud, breach of fiduciary duty, negligence, unsuitable recommendations. In or around 2019

There are Recent Customer Complaints with Broker Daniel Pikula in Firm Emerson Equity LLC

August 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 11, 2025.

Breach of fiduciary duty; negligence; fraud; breach of contract; Violation of FL securities and investor protection act;

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

August 14, 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 $300,000.00 on June 24, 2025.

Breach of fiduciary duty; negligence and negligent misrepresentation; breach of contract; overconcentration; failure to supervise; Violation of Regulation Best Interest. Investments made around 02/2020 and 1/2021