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 |
|---|---|---|---|---|---|---|---|---|
| Dieter Erwin Thurow | 1435375 | 2 | 07/12/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tomas Juhan Velken | 1600404 | 15 | 06/06/2016 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
| Justin Kerry Wine | 4088317 | 4 | 05/12/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Craig M Gougis | 3258023 | 7 | 04/27/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Darrach Michael Bourke | 5255413 | 14 | 03/16/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Todd Cory Simpson | 2964077 | 6 | 03/03/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Martin Hickey | 1505083 | 2 | 12/23/2015 | Customer Dispute | Settled | $5,710,000.00 | $0.00 | See FINRA Report |
| Tomas Juhan Velken | 1600404 | 15 | 09/01/2015 | Customer Dispute | Settled | $115,000.00 | $0.00 | See FINRA Report |
| Kenneth Conrad Zupo | 4509502 | 5 | 08/11/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter T Po | 3106974 | 19 | 08/04/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |