Brian Nelson Of Emerson Equity Settles Customer Dispute For $466,040
Brian Nelson (CRD #5065593) settled a customer dispute naming Emerson Equity for $466,040, according to his BrokerCheck report. The claim, filed August 25, 2025 under docket number 25-01601, alleged violations of federal securities laws, violation of California securities laws, California unfair, unlawful and fraudulent business practices, violation of California's Financial Elder Abuse Law, breach of contract, common law fraud, breach of fiduciary duty, and negligence. It settled on September 2, 2026.
Nelson also settled several other Emerson Equity disputes in 2026, according to BrokerCheck.
Brian Nelson Settles Additional Emerson Equity Disputes
Brian Nelson also settled an Emerson Equity dispute for $136,944, according to BrokerCheck. That claim, filed June 9, 2025 under docket number 25-01170, alleged violation of federal securities laws, violations of the California Securities laws, California unfair, unlawful, and fraudulent business practices, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence. It settled on September 23, 2026.
Nelson settled another Emerson Equity dispute for $318,487, according to BrokerCheck. That claim, filed November 14, 2025 under docket number 25-02515, alleged breach of fiduciary duty, suitability, fraudulent misrepresentations and omissions, violation of FINRA rules 2010, IM-2310-2, and 2020, and breach of contract. It also settled on September 2, 2026.
A separate Emerson Equity dispute settled the same day for $332,323, according to BrokerCheck. That claim, filed May 21, 2025 under docket number 25-00971, alleged violation of federal securities laws, violations of the California securities laws, California unfair, unlawful, and fraudulent business practices, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence.
Earlier Brian Nelson Settlements With Emerson Equity
Brian Nelson settled an Emerson Equity dispute for $96,597, according to BrokerCheck. The claim, filed August 4, 2025 under docket number 25-01572, alleged violations of federal securities laws, violations of the California securities laws, California unfair, unlawful, and fraudulent business practices, violation of California's Elder Abuse Law, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence. BrokerCheck states the trades at issue were placed between 2016 and 2019, and the matter settled on September 2, 2026.
A further Emerson Equity dispute, resolved for $38,839, arose from a claim filed January 13, 2026 under docket number 26-00050, according to BrokerCheck. That claim alleged breach of fiduciary duty, suitability, fraudulent misrepresentations and omissions, violations of FINRA rules 2010, IM-2310-2, and 2020, and breach of contract. It settled on September 2, 2026.
Questions About An Account Handled By Brian Nelson?
FINRA member firms must supervise the activities of their brokers. If you have questions about an account that Brian Nelson handled, call Soreide Law Group at (888) 760-6552. You can also reach us online to speak with a securities attorney. Our securities lawyers handle FINRA arbitration claims on a contingency fee basis. Learn how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of September 30, 2026. Allegations in customer complaints and arbitrations are claims, not findings. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
The Logan Group Securities [CRD: 40259, Roseville, California] was censured and fined $70,000 in a FINRA disciplinary action, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026. FINRA found that the firm, listed in the report as Logan, Kevin Christopher dba The Logan Group Securities, willfully violated Reg BI and Form CRS requirements. The firm consented to the sanctions and to the entry of findings without admitting or denying them, according to the Letter of Acceptance, Waiver and Consent (AWC) issued July 27, 2026.
Brown Associates, Inc. [CRD: 5049, Chattanooga, Tennessee] was censured and fined $30,000 in an AWC issued by FINRA, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026.
RBC Capital Markets, LLC (CRD #31194, New York, New York) was censured and fined $275,000 after an AWC found the firm failed to develop and implement an anti-money laundering compliance program reasonably designed to detect and cause the reporting of suspicious transactions, according to FINRA's September 2026 disciplinary report.
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