Craig Emerson is the Subject of a Six-Figure Dispute

Craig Emerson (CRD #: 2761245), a broker registered with Cetera Advisor Networks, is the subject of an investor dispute. This dispute appears in his BrokerCheck record, accessed on September 15, 2023. Keep reading if you have questions about his alleged conduct. 

On July 31, 2023, investors alleged Craig Emerson breached his fiduciary duty. The investor is seeking $215,000. 

Fiduciary Duties

Brokers are often dually registered as Registered Investment Advisers (RIAs) with the SEC, and RIAs are fiduciaries. Fiduciaries are required to act in their clients’ best interests. Brokers are not fiduciaries but must abide by FINRA Rule 2111 and Regulation Best Interest. (To learn more about the differences between brokers and Registered Investment Advisers, click here.) 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of fiduciary duties may also violate this rule. 

Background Information 

Craig Emerson has passed the following exams: 

• Series 66 Uniform Combined State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 

He is a registered broker in 30 states and is a registered investment adviser in Colorado and Texas. 

Craig Emerson has registered with the following firms: 

• Cetera Advisor Networks (CRD #: 13572) 
• Cetera Investment Advisors (CRD #: 105644) 
• Summit Financial Group (CRD #: 109485) 
• Summit Brokerage Services (CRD #: 34643) 
• VSR Advisory Services (CRD #: 14503) 
• VSR Financial Services (CRD #: 14503) 
• H. Beck (CRD #: 1763) 

Kurta Law Can Help

If you worked with Craig Emerson and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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.