Investors apparently complained about securities broker David Christian Waal [CRD: 1226437, Irvine, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Waal worked for Emerson Equity LLC beginning on June 30, 2021, and previously worked for Orchard Securities LLC from May 8, 2020, to October 12, 2020. Keep reading for details about Waal’s disclosures.
According to FINRA BrokerCheck, an Emerson Equity LLC client disputed Waal’s conduct on September 9, 2025, leading to FINRA Arbitration No. 25-01880. The client alleged that Waal breached his fiduciary duty and was negligent. The client claimed damages connected to real estate securities. For this reason, the client requested between $1,000,000 and $2,300,000 from Emerson Equity LLC or Waal. It appears that this arbitration is pending a resolution.
Notably, a client of Omni Brokerage Inc. disputed David Waal’s sales practices by filing FINRA Arbitration No. 11-00735. Allegedly, Waal made omissions. It appears that Waal allegedly caused the investor to sustain damages linked to direct investments and real estate securities. Consequently, Omni Brokerage Inc. opted to settle the matter on August 7, 2012, by compensating the client in the amount of $50,000.
Do you have concerns or questions regarding investments you made with David Waal? You can get in touch with Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm takes cases on a contingency fee basis and advances all costs. Waal and brokerage firms Waal worked for deny accusations of sales practice violations.
Investors apparently complained about securities broker Devlin H. Dwyer. [CRD: 6634140, Atlanta, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dwyer worked for Patrick Capital Markets LLC from November 22, 2016, to March 9, 2026. See below to find out more about the disclosures involving this securities broker. Patrick Capital Investor […]
Investors have reportedly disputed the sales practices of securities broker Jennifer Lasser Eilers (also known as Jennifer Ann Costello and Jennifer Ann Lasser) [CRD: 2410129, Niles, Illinois], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jennifer Eilers worked for BMO Harris Financial Advisors Inc. from February 19, 2021, to March 24, 2021, […]
Investors potentially experienced sales practice violations by securities broker Gabriel D. Candea (also known as Gabe Candea) [CRD: 5531840, Santee, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gabriel Candea worked for Emerson Equity LLC from January 14, 2022, to the present as a securities broker in Irvine, California, […]
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