Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Chapin (Chapin), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Chapin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on September 24, 2025.
Violation of Federal Securities Laws, Violations of the California Securities Act, Breach of Contract, Common Law Fraud, Breach of Fiduciary Duty, Negligence and Gross Negligence,