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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Wang Lam | 4723020 | 1 | 12/08/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Scott Smith | 1412333 | 12 | 11/16/2011 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| Tomas Juhan Velken | 1600404 | 15 | 11/16/2011 | Customer Dispute | Settled | $289,000.00 | $0.00 | See FINRA Report |
| Toni Lynn Sutherland | 2729672 | 7 | 11/01/2011 | Customer Dispute | Withdrawn | $2,958,710.00 | $0.00 | See FINRA Report |
| Tomas Juhan Velken | 1600404 | 15 | 10/07/2011 | Customer Dispute | Settled | $979,000.00 | $0.00 | See FINRA Report |
| Toni Lynn Sutherland | 2729672 | 7 | 09/23/2011 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |
| Daniel Simon Pikula | 2563165 | 7 | 09/06/2011 | Customer Dispute | Settled | $150,651.00 | $0.00 | See FINRA Report |
| Terry Tin Sing Tang | 2625824 | 4 | 07/05/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tomas Juhan Velken | 1600404 | 15 | 03/11/2011 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| David Christian Waal | 1226437 | 1 | 02/24/2011 | Customer Dispute | Settled | $809,750.00 | $0.00 | See FINRA Report |