Emerson Equity LLC

Broker George Smith in Emerson Equity LLC Firm Has Customer Complaint

May 15, 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 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

Broker Peter Po in Emerson Equity LLC Firm Has Customer Complaint

May 14, 2026 | 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 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

Broker Eric Bell in Emerson Equity LLC Firm Has Customer Complaint

May 13, 2026 | by Staff Attorney

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

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

May 13, 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 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

There are Recent Customer Complaints with Broker Ryan Finch in Firm Emerson Equity LLC

May 12, 2026 | by Staff Attorney

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

Broker Dan Werry in Emerson Equity LLC Firm Has Customer Complaint

April 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 31, 2025.

Breach of contract and warranties, promissory estoppel; violation of fraud and estate securities statutes and the deceptive practices act (DTPA); claims under common law; vicarious liability;

There are Recent Customer Complaints with Broker William Sneckner in Firm Emerson Equity LLC

April 11, 2026 | by Staff Attorney

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 $150,000.00 on January 13, 2026.

Compensatory damages; breach of written 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; and violation of the Best Interest Obligation. Investment placed around July 2024

There are Recent Customer Complaints with Broker Bradley Davidson in Firm Emerson Equity LLC

April 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 27, 2026.

Violations of federal securities laws, violation 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., investment purchased in 2021

Broker Brian Nelson in Emerson Equity LLC Firm Has Customer Complaint

April 8, 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 3 disclosable events. These events include 3 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 January 27, 2026.

Violations of federal securities laws, violation 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, investment purchased in 2021.

There are Recent Customer Complaints with Broker Patrick Lam in Firm Emerson Equity LLC

April 8, 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 January 27, 2026.

Breach of contract and warranties, promissory estoppel; violation of fraud and estate securities statutes and the deceptive practices act (DTPA); violation of Regulation Best Interest; Breach of fiduciary duty; claims under common law; vicarious liability;