Bryan Emerson is the Subject of a Suitability Dispute

Bryan Emerson (CRD #: 4155238), a broker registered with CIM Securities, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on July 16, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Dispute 

On June 14, 2024, an investor alleged that Bryan Emerson had recommended unsuitable investments and breached his contract. They further alleged negligence. 

What is an Unsuitable Investment?

FINRA Rule 2111 requires brokers to evaluate whether an investment strategy fits their investor’s financial goals. Brokers must examine the investor’s profile, which contains the following investor characteristics:

• Age
• Risk tolerance
• Time horizon (i.e., how long the investor plans to hold the investment)
• Investing experience
• Tax status
• Financial goals

Investors who rely on brokers for recommendations may be able to recover losses from unsuitable investment recommendations by pursuing FINRA arbitration.

Negligence

Many types of broker misconduct may qualify as negligence. Typical examples include unsuitable investment recommendations, misrepresentations or omissions of material fact, and failure to follow instructions.

Investors who believe their losses are the result of broker negligence may be able to recover their funds through FINRA arbitration.

Background Information 

Bryan Emerson has passed the following exams:  

• Series 63 Uniform Securities Agent State Law Examination 
• Series 99TO Operations Professional Examination 
• Series 79TO Investment Banking Registered Representative
• SIE – Securities Industry Essentials Examination 
• Series 87 Research Analyst Exam – Part II Regulations Module 
• Series 7 General Securities Representative Examination 
• Series 14 Compliance Officer Examination 
• Series 27 Financial and Operations Principal Examination 
• Series 24 General Securities Representative Examination 

He is a registered broker in 15 states. 

During his 22 years of experience, he has registered with four firms: 

• CIM Securities (CRD #: 120852) 
• Great Point Capital (CRD #: 114203) 
• Sequence Financial Specialists (CRD #: 132915) 
• Starlight Investments (CRD #: 103957) 

Kurta Law Can Help 

If you have worked with Bryan Emerson and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email 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.