Did you suffer investment losses with Emerson Equity (CRD# 130032) (SEC# 801-71293, 8-66296)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Emerson Equity. If you suffered losses investing with Emerson Equity, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
As of April 4, 2020, Emerson Equity’s FINRA BrokerCheck Report contains the following:
Main Office Location
155 BOVET ROAD, SUITE 725
SAN MATEO, CA 94402
US
Mailing Address
155 BOVET ROAD, SUITE 725
SAN MATEO, CA 94402
US
Business Telephone Number
650-312-0200
Emerson Equity’s Direct Owners and Executive Officers
BALDINI, DOMINIC JULIO (CRD#:3082081), MANAGING MEMBER, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL, MUNICIPAL PRINCIPAL, FINOP
OCEANIC PARTNERS, INC., OWNER
MORRISSEY, KATHLEEN FRANCES (CRD#:1771747), CHIEF OPERATIONS OFFICER
SNYDER, SEAN KRISTIAN (CRD#:1860842), CHIEF STRATEGY OFFICER
SULLIVAN, TIMOTHY EVAN (CRD#:4505978), PRESIDENT
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Emerson Equity and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
