Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Kent (Kent), previously associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kent 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 $90,000.00 on March 14, 2023.
Violations of federal securities laws, fraud, violations of Georgia securities act, unsuitable recommendations, misrepresentations, omissions of material fact, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence