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Jeffrey Guan Allegedly Violated Regulation Best Interest

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
October 25, 2025 at 2:29am

Jeffrey Guan (CRD #: 7000349), a broker registered with Emerson Equity, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on October 4, 2025. Keep reading if you have questions regarding his alleged conduct.

Investor Allegations

On August 27, 2025, an investor alleged that Jeffrey Guan violated the Consumer Protection and Deceptive Trade Practices Act and Regulation Best Interest.

Regulation Best Interest

Regulation Best Interest (Reg-BI) is an SEC regulation that requires brokerage firms to put their clients’ best interests first. For example, firms must conduct reasonable due diligence when researching investments to ensure their recommendations are suitable for the investor.

Background Information

Jeffrey Guan has passed the following exams:

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

He is a registered broker in 19 states and is a registered investment adviser in California.

Kurta Law Can Help

If you worked with Jeffrey Guan 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. 

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