Articles Tagged with Emerson Equity LLC

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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 3 disclosable events. These events include 3 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 with a damage request of $25,000.00 on June 04, 2025.

Breach of fiduciary duty; negligence and negligent misrepresentation; breach of contract; overconcentration (negligence and breach of fiduciary duty); negligence-violation of Regulation Best Interest

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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 one disclosable event. These events include one customer complaint, alleging that Pikula 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 $400,000.00 on July 26, 2023.

Breach of Fiduciary Duty and Negligence,

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

FINRA BrokerCheck shows a settled customer complaint on September 22, 2023.

Breach of Fiduciary Duty, Negligent Misrepresentation and Breach of Contract in connection with the sale of securities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Culwell (Culwell), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Culwell 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 March 18, 2025.

Compensatory damages, 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 California Securities Act, violation of Best Interest Obligations (Reg BI), purchased in 2018

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Morrow (Morrow), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morrow 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 $900,000.00 on February 05, 2024.

The client alleges misrepresentation and omission of investment information.

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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 with a damage request of $444,000.00 on January 31, 2024.

Misrepresentation and unsuitable investments on written complaint\, Arbitration alleges the following: breach of fiduciary duty, violation of FINRA/NYSE/SEC rules and regulations, breach of contract, negligence, negligent supervision, violation of the securities acts and regulations, elder abuse, unjust enrichment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeff Webb (Webb), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Webb 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 March 18, 2025.

Breach of fiduciary duty; negligence; suitability; misrepresentations and omissions of material fact under Colorado Securities Act; negligent misrepresentation; misrepresentation; omission; 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Getty (Getty), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Getty 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 $435,068.09 on March 19, 2025.

Breach of fiduciary obligations/duties; breach of contract; negligence/professional negligence; violation of regulation BI; violations of Nevada Securities Act; Violations of Nevada laws protecting older or vulnerable persons from abuse, neglect or exploitation; violations of the Nevada deceptive trade practices act; violations federal rules and regulations; general equitable principals that apply in arbitration. Trades done in 2019,2020 and 2021. Allegations against representative Getty would be for suitability. Getty is not a respondent in this matter.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Wong (Wong), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wong 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 $250,000.00 on March 17, 2025.

Compensatory damages; breach of written contract pursuant to customer agreements; 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 and violation of Best Interest Obligations (Reg BI)

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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 on March 24, 2025.

Violation of common law fraud; breach of fiduciary duty; negligence

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