Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Phillip Falk (Falk), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Falk recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on November 24, 2025.
Compensatory damages, breach of written contract, breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions, violation of FINRA rules; violation of the state securities acts and federal securities laws, violation of Best Interest Obligations. Purchases done between 01/2025 and 05/2025