Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Finch (Finch), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Finch recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on November 11, 2025.
Breach of fiduciary duty; negligence; and violation of Regulation BI