Articles Tagged with Patrick Lam

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Lam (Lam), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lam recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 19, 2025.

Suitability, trade done sometime around 2022

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Lam (Lam), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lam recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 02, 2025.

Violations of Federal Securities Laws, Violations of the California Securities Act, Breach of Contract, Common Law Fraud, Breach of Fiduciary Duty, Negligence and Gross Negligence. 2022

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Lam (Lam), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lam recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 27, 2025.

Breach of contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violation of securities statutes, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest