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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Evan Sullivan | 4505978 | 2 | 04/23/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrea Xuefen Bulow | 3071648 | 6 | 09/18/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Conrad Zupo | 4509502 | 5 | 03/21/2006 | Customer Dispute | Settled | $4,341.82 | $0.00 | See FINRA Report |
| James Edward Bey | 1933696 | 4 | 04/06/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Edward Bey | 1933696 | 4 | 01/06/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Edward Bey | 1933696 | 4 | 02/27/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Denise Lynn Warren | 1406215 | 3 | 01/03/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alexander Quinn McCarthy | 2388165 | 1 | 12/23/2003 | Customer Dispute | Settled | $1,224,230.00 | $0.00 | See FINRA Report |
| Ross Charles Bonifield | 3074157 | 1 | 11/03/2003 | Customer Dispute | Denied | $5,986.37 | $0.00 | See FINRA Report |
| Daniel Simon Pikula | 2563165 | 7 | 08/12/2003 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |