Articles Tagged with Forrest James

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

FINRA BrokerCheck shows a pending customer complaint on April 20, 2026.

Breach of contract and warranties, promissory estoppel, violation of Consumer Protection and Deceptive Trade Practices Act, Violation of securities statues, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Forrest James (James), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that James 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 $444,000.00 on January 31, 2024.

Misrepresentation and unsuitable investments on written complaint\, Arbitration alleges the following: breach of fiduciary duty, violation of FINRA/NYSE/SEC rules and regulations, breach of contract, negligence, negligent supervision, violation of the securities acts and regulations, elder abuse, unjust enrichment.