Brett Emmeluth Allegedly Misrepresented Investments

Brett Emmeluth (CRD #: 4707323), a broker registered with LPL Financial, is the subject of a dispute alleging misrepresentation. This disclosure appears on his BrokerCheck record, accessed on March 19, 2024. Keep reading if you would like more details. 

Investor Disputes

On December 27, 2023, an investor alleged that Brett Emmeluth misrepresented her investment’s risks. She alleges that his poor management caused losses in her business’s profit-sharing account, which allegedly failed to meet her growth expectations. The investor sought $1.6 million, but the dispute was denied by the firm. investors should know, however, that firms can deny disputes without any external review.

Investors should know that there are two other disputes on his official record. 

Misrepresentation 

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

Background Information 

Brett Emmeluth has passed the following exams: 

• Series 66 Uniform Combined State Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 31 Futures Managed Funds Examination 
• Series 7 General Securities Representative Examination 
• Series 6 Investment Company Products/ Variable Contracts Representative Examination 

He is a registered broker in 24 states and is a registered investment adviser in Colorado. 

During his 20 years of experience, Brett Emmeluth has registered with five firms: 

• LPL Financial (CRD #: 6413) 
• First Financial Equity Corporation (CRD #: 16507) 
• Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
• Morgan Stanley (CRD #: 7556) 
• NYLife Securities (CRD #: 5167) 

Kurta Law Can Help 

If you have worked with Brett Emmeluth and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.