Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Ozer (Ozer), previously associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ozer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $300,000.00 on March 20, 2020.
Clients allege wrongful conduct, Breach of fiduciary duty, Breach of written contract, Breach of oral contract, Violations of State and Federal Securities Laws. Financial Abuse. The claim alleges the events took place in 2014 (no specific dates were given).