Emerson Equity LLC

There are Recent Customer Complaints with Broker Cameron Foster in Firm Emerson Equity LLC

February 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cameron Foster (Foster), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Foster 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 March 29, 2021.

Claimant alleges that Mr. Foster recommended an investment product that was unsuitable.

There are Recent Customer Complaints with Broker Yi Ping Chou in Firm Emerson Equity LLC

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yi Ping Chou (Chou), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chou 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 $200,000.00 on April 12, 2021.

Alleged Suitability and conflicts of interest dtd 6/10/2014

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

February 9, 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 on November 11, 2025.

Breach of fiduciary duty; negligence; and violation of Regulation BI

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

February 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan 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 November 14, 2025.

Violation of federal securities laws; violations of the California Securities Laws; Unsuitable recommendations, misrepresentations and omissions of material fact; California unfair, unlawful, and fraudulent business practices; common law fraud; breach of contract; breach of fiduciary duty; negligence and gross negligence. 2021

Broker Phillip Falk in Emerson Equity LLC Firm Has Customer Complaint

February 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 24, 2025.

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 acts and federal securities laws, violation of Best Interest Obligations. Purchases done between 01/2025 and 05/2025

Broker David Waal in Emerson Equity LLC Firm Has Customer Complaint

February 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 14, 2025.

Breach of fiduciary duty; suitability/regulation Best Interest; negligent misrepresentations and omission of material information; violation of FINRA rules 2010, IM-2310-2, and 2020; breach of contract.

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

February 7, 2026 | 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 on November 25, 2025.

Compensatory damages; breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of California Corporation Code Section 25401 and 25501 and federal securities laws and violation of Regulation Best Interest

There are Recent Customer Complaints with Broker Peter Po in Firm Emerson Equity LLC

February 6, 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 one disclosable event. These events include one customer complaint, 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 December 08, 2025.

Breach of contract and warranties, promissory estoppel; consumer protection and deceptive trade practices act; violations of securities statutes; breach of fiduciary duty; vicarious liability; violation of Regulation Best Interest

There are Recent Customer Complaints with Broker Robert Smith in Firm Emerson Equity LLC

February 6, 2026 | 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 2 disclosable events. These events include 2 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 on December 05, 2025.

Breach of fiduciary duty; negligence and violation of Regulation BI

There are Recent Customer Complaints with Broker Alexander Staverosky in Firm Emerson Equity LLC

February 5, 2026 | by Staff Attorney

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