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 |
|---|---|---|---|---|---|---|---|---|
| Peter T Po | 3106974 | 19 | 09/21/2021 | Customer Dispute | Settled | $99,999.00 | $0.00 | See FINRA Report |
| Robert Scott Smith | 1412333 | 12 | 05/10/2021 | Customer Dispute | Settled | $678,500.00 | $0.00 | See FINRA Report |
| Yi Ping Chou | 4882398 | 1 | 04/12/2021 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Michelle Fisher Osborne | 2256998 | 7 | 02/11/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Gregory Culwell | 5989109 | 2 | 02/08/2021 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Robert Scott Smith | 1412333 | 12 | 12/23/2020 | Customer Dispute | Settled | $630,000.00 | $0.00 | See FINRA Report |
| Robert Howard Zink | 5105262 | 2 | 11/30/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Craig M Gougis | 3258023 | 7 | 10/27/2020 | Judgment / Lien | $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 |