Articles Tagged with George Smith

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

January 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George 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 November 06, 2025.

Breach of Fiduciary Duty, Negligence and violation of Regulation Best Interest

Broker George Smith in Emerson Equity LLC Firm Has Customer Complaint

October 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Smith (Smith), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, 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 September 09, 2025.

Violation of Common Law Fraud, Breach of Fiduciary Duty, Negligence