Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wen Che (Che), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Che recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on December 15, 2025.
Breach of written contract; 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; violation of the California Securities Act; violation of Best Interest Obligations. Investment made in 2019