Our Staff has compiled our research into a database of FINRA Broker Disclosures for Emerson Equity LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| David Louis Rumsey | 5461014 | 3 | 02/03/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Derek James Uldricks | 6842446 | 1 | 05/23/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dominic Julio Baldini | 3082081 | 2 | 12/22/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Louis Rumsey | 5461014 | 3 | 11/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Louis Rumsey | 5461014 | 3 | 07/01/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Maximillian Bradley Shaulis | 7283721 | 1 | 06/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Howard Davis | 1782118 | 1 | 01/23/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Martin Hickey | 1505083 | 2 | 12/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Darrach Michael Bourke | 5255413 | 14 | 03/06/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Simon Pikula | 2563165 | 7 | 12/06/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |