Articles Tagged with Emerson Equity LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dominic Baldini (Baldini), currently associated with Emerson Equity LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Baldini 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 $643,509.94 on January 27, 2026.

The claim alleges control person liability with respect to an investment which it indicates occurred on 11/3/2021.

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

FINRA BrokerCheck shows a pending customer complaint on February 06, 2026.

Negligence, misrepresentation and omission of material facts, failure to meet suitability obligations, violations of California’s ‘Blue Sky’ law, breach of fiduciary duty, breach of contract

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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 on February 10, 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 (Sept 2023)

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

FINRA BrokerCheck shows a pending customer complaint on February 10, 2026.

Breach of contract; negligence; negligent misrepresentation; fraud; breach of fiduciary duty; violations of California Corporations Code; violations of the Securities Exchange Act; violations of the California unfair competition law. Trades placed between 2016 and 2017

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Noard (Noard), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Noard 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 February 24, 2026.

Claimants allege Violation of Wisconsin Uniform Securities Act, Fraud/Negligent Misrepresentation, and Negligence with regard to various investment products they purchased from 2019 to 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Riggs (Riggs), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Riggs 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 $1,000,000.00 on December 15, 2020.

Claimants allege that Mr. Riggs recommended alternative investments that were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Hill (Hill), previously 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 settled customer complaint with a damage request of $500,000.00 on January 26, 2021.

Customers allege that the firm and financial advisor failed to perform adequate due diligence in connection with a 1031 exchange recommendation in 2015 that customers invest in a Delaware Statutory Trust.

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

FINRA BrokerCheck shows a pending customer complaint on December 19, 2025.

Suitability

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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 on December 16, 2025.

Suitability

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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 $1,862,532.05 on December 23, 2025.

Unsuitable recommendations trades placed between 2018 and 2019

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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
28 Valley Rd
#1
Montclair, NJ 07042
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