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 |
|---|---|---|---|---|---|---|---|---|
| David Louis Rumsey | 5461014 | 3 | 02/03/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Scott Smith | 1412333 | 12 | 02/01/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tony Barouti | 3031995 | 48 | 01/09/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Shirley Ank Wong | 4869184 | 12 | 01/03/2023 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Paul M Getty | 6470002 | 3 | 12/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Joseph Perkins | 5630932 | 1 | 12/06/2022 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Tony Barouti | 3031995 | 48 | 12/06/2022 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Julie Ann Reyes | 5770495 | 3 | 12/01/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Fred Chen | 5766069 | 2 | 12/01/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Peter T Po | 3106974 | 19 | 11/21/2022 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |