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 |
|---|---|---|---|---|---|---|---|---|
| Shirley Ank Wong | 4869184 | 12 | 06/03/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Peter T Po | 3106974 | 19 | 06/03/2022 | Customer Dispute | Settled | $878,955.00 | $0.00 | See FINRA Report |
| Robert Scott Smith | 1412333 | 12 | 05/26/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Derek James Uldricks | 6842446 | 1 | 05/23/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tony Barouti | 3031995 | 48 | 05/11/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tony Barouti | 3031995 | 48 | 05/05/2022 | Customer Dispute | Settled | $537,460.00 | $0.00 | See FINRA Report |
| Tony Barouti | 3031995 | 48 | 04/29/2022 | Customer Dispute | Settled | $157,700.00 | $0.00 | See FINRA Report |
| Tony Barouti | 3031995 | 48 | 04/25/2022 | Customer Dispute | Settled | $185,000.00 | $0.00 | See FINRA Report |
| Tony Barouti | 3031995 | 48 | 04/20/2022 | Customer Dispute | Settled | $2,515,000.00 | $0.00 | See FINRA Report |
| Peter T Po | 3106974 | 19 | 04/11/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |