Articles Tagged with Shirley Wong

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Wong (Wong), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wong 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 $250,000.00 on March 17, 2025.

Compensatory damages; breach of written contract pursuant to customer agreements; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of federal securities laws; violation of the California Securities Act and violation of Best Interest Obligations (Reg BI)

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Wong (Wong), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wong 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 $100,000.00  on February 12, 2025.

Violations of Federal Securities Laws, Violations of California securities laws, California unfair, unlawful and fraudulent business practices, Violation of California’s financial elder abuse law, Breach of contract, Common law fraud, Breach of fiduciary duty, Negligence and Gross negligence, 05/2020

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Wong (Wong), currently associated with Emerson Equity LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Wong 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 $5,000.00 on January 29, 2025.

Claimants allege breach of contract, negligence, Reg BI violations relating to purchase in 2020 of GWG corporate bonds of which the issuer subsequently filed bankruptcy.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Wong (Wong), currently associated with Emerson Equity LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Wong 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 $5,000.00 on January 29, 2025.

Claimants allege breach of contract, negligence, Reg BI violations relating to purchase in 2020 of GWG corporate bonds of which the issuer subsequently filed bankruptcy.