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.
ROBERT SCOTT SMITH (ROBERT S SMITH) is currently registered as a broker with EMERSON EQUITY LLC of Newberg, Oregon, since 4/3/2020. He was previously registered as a broker with CONCORDE INVESTMENT SERVICES LLC of Newberg, Oregon, 05/06/2011 - 04/06/2020. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, ROBERT S SMITH has 39 […]
MARILEE ANN HILL (MARILEE A HILL, MARILEE ANN HANSEN) has been registered as a broker with EMERSON EQUITY LLC of San Mateo, California, since 3/26/2020. She was previously registered with PRIMEX of Christiansted, St. Croix, VI, from 10/13/2014 - 04/20/2020. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, MARILEE A HILL has […]
Investors potentially experienced sales practice violations by securities broker Nicholas Thomas Stafford IV (also known as Nicholas Lance and Lance Stafford) [CRD: 2900449, Atlanta, Georgia], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stafford worked for Bridge Capital Associates Inc. from January 10, 2020, to March 3, 2022, Emerson Equity […]
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