Articles Tagged with Fred Chen

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fred Chen (Chen), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chen 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 $500,000.00 on May 28, 2026.

Compensatory damages, breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of California Securities Act and federal securities laws, violation of Regulation Best Interest. Investments placed between 2021 and 2025

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fred Chen (Chen), currently associated with Emerson Equity LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Chen 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 $300,000.00 on December 11, 2024.

Breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of finra rules, violation of federal securities laws, violation of the california securities act and violation of best interest obligations. June 2020