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 |
|---|---|---|---|---|---|---|---|---|
| James Dwight McPherson | 5918462 | 2 | 05/04/2020 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Robert Scott Smith | 1412333 | 12 | 04/06/2020 | Customer Dispute | Settled | $360,000.00 | $0.00 | See FINRA Report |
| Craig M Gougis | 3258023 | 7 | 03/30/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Michael Ozer | 1009252 | 3 | 03/20/2020 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| James Dwight McPherson | 5918462 | 2 | 03/09/2020 | Customer Dispute | Award / Judgment | $500,000.00 | $125,000.00 | See FINRA Report |
| Craig M Gougis | 3258023 | 7 | 03/03/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Howard Davis | 1782118 | 1 | 01/23/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Scott Smith | 1412333 | 12 | 01/13/2020 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Robert Scott Smith | 1412333 | 12 | 01/06/2020 | Customer Dispute | Settled | $647,500.00 | $0.00 | See FINRA Report |
| Scott Michael Ozer | 1009252 | 3 | 01/03/2020 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |