Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Getty (Getty), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Getty recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $435,068.09 on March 19, 2025.
Breach of fiduciary obligations/duties; breach of contract; negligence/professional negligence; violation of regulation BI; violations of Nevada Securities Act; Violations of Nevada laws protecting older or vulnerable persons from abuse, neglect or exploitation; violations of the Nevada deceptive trade practices act; violations federal rules and regulations; general equitable principals that apply in arbitration. Trades done in 2019,2020 and 2021. Allegations against representative Getty would be for suitability. Getty is not a respondent in this matter.