Securities Lawyers Blog
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.