James McPherson Involved In Emerson Equity Investor Complaint About Breach Of Fiduciary Duty

Investors might have sustained losses due to securities broker James Dwight McPherson (also known as Jay McPherson) [CRD: 5918462, San Mateo, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McPherson worked for Emerson Equity LLC beginning on February 18, 2021, and previously worked for Great Point Capital LLC from February 16, 2018, through December 31, 2020. Keep reading to find out more about McPherson’s disclosures.

Emerson Equity Investor Accused Jay McPherson Of Misrepresentation, Negligence

Evidently, on October 22, 2025, an Emerson Equity LLC client filed FINRA Arbitration No. 25-02295 about James McPherson. Primarily, the client alleged that McPherson was negligent, violated FINRA rules and Regulation Best Interest, made negligent misrepresentations, breached his fiduciary duty, and violated the Florida Securities and Investor Protection Act. Because of this, the client allegedly experienced damages linked to real estate securities. Therefore, the client requested $500,000 in damages from Emerson Equity LLC or McPherson. It appears that this arbitration is ongoing.

Concorde Investment Services Client Dispute Involving Allegations Of Unsuitable Advice By James Mcpherson

Also, a client of Concorde Investment Services LLC disputed James McPherson’s sales practices by filing FINRA Arbitration No. 20-00827. Allegedly, McPherson was negligent, breached his fiduciary duty, breached a contract, and made unsuitable recommendations. It appears that McPherson caused the client to sustain damages associated with direct investments. As a result, Concorde Investment Services LLC opted to settle the matter on March 1, 2021, by compensating the client in the amount of $21,500.

Sandlapper Securities Investor Accused Jay Mcpherson Of Breach Of Contract

Notably, a Sandlapper Securities LLC client filed FINRA Arbitration No. 20-00687 about James McPherson. Mainly, the client alleged that McPherson breached a contract and warranties and was the subject of claims involving unfair trade and deceptive practices and violations of state securities statutes (including the Florida Securities and Investor Protection Act). For this reason, the client allegedly incurred damages connected to alternative investments such as GPB Automotive Portfolio, Northstar Healthcare, and Hospitality Investors Trust Inc. Consequently, on April 21, 2021, a FINRA Arbitration Panel issued an Award ordering Sandlapper Securities LLC and McPherson to pay the client $20,000 in compensatory damages.

Did You Invest With Financial Advisor / Securities Broker James McPherson?

Do you need clarification on any investment losses relating to James McPherson? If so, reach out to Soreide Law Group online or at (888) 760-6552 and speak with a securities lawyer concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients located throughout the US. Also, the firm represents investors on a contingency fee basis and advances all costs. McPherson and brokerage firms McPherson worked for deny allegations of sales practice violations.