Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Julie Reyes (Reyes), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reyes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on December 01, 2022.
The client contends that registered rep did not clearly communicate the time horizon of the investment. Arbitration allegations are Negligence, breach of fiduciary duty, violation of California corporations code and financial elder abuse.