Securities Lawyers Blog
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.