Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Cole (Cole), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cole recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on October 09, 2025.
Breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of the Massachusetts Uniform Securities Act Part 1, Chapter 110A, Section 101, sales and purchases and federal securities laws, violation of Best Interest Obligation.