Investors potentially incurred losses because of securities broker Gregory Jonathan Ritter (also known as Gregory John Ritter) [CRD: 3087358, Delaware, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Ritter worked for Emerson Equity LLC beginning June 8, 2010, as a broker and has also been registered with the firm as an investment adviser since November 10, 2010. Investors should keep reading to learn more about disclosures involving this individual.
In general, an allegation of breach of fiduciary duty means a client claims a securities broker or financial advisor failed to act in the client’s best interest. This can include placing personal or firm interests ahead of the client, failing to provide suitable advice, or not following required standards of care when recommending investments.
Particularly, on September 26, 2024, an Emerson Equity LLC client filed FINRA Arbitration No. 24-02050 regarding Gregory Ritter. Primarily, the client alleged that Ritter was negligent, breached his fiduciary duty, violated Regulation Best Interest, and violated securities rules and regulations. For this reason, the client allegedly sustained damages related to corporate bonds. Therefore, the client requested $135,000 in compensation from Emerson Equity LLC or Ritter. It appears that this arbitration is pending a resolution.
Are you concerned regarding investments you made through Gregory Ritter? You can contact Soreide Law Group at (888) 760-6552 or online and talk with a securities lawyer regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee arrangement and advances all costs. Ritter and brokerage firms Ritter worked for deny allegations of sales practice violations.
Investors have reportedly disputed the sales practices of securities broker Mark James Bloom [CRD: 6933619, Atlanta, Georgia], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark Bloom worked for Avantax Investment Services Inc. and Avantax Advisory Services from March 26, 2021, to September 5, 2025, and later registered with Cetera Wealth […]
Investors potentially incurred losses because of securities broker Raymond Edward DesRosiers (also known as Ray DesRosiers) [CRD: 4621826, Greenwich, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DesRosiers worked for Emerson Equity LLC from March 24, 2017, to May 2, 2022, WealthForge Securities LLC from May 6, 2022, to March 1, […]
Investors potentially experienced sales practice violations by securities broker Shannon Dwain Moore [CRD: 2934682, Jefferson City, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shannon Moore has worked for LPL Financial LLC since October 11, 2011, where he has been registered while serving clients in Tennessee. Investors should continue reviewing the information […]
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