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.
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.
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.
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.
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.
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
Investors potentially incurred losses because of securities broker Raymond Trey Brown [CRD: 6170291, Frisco, Texas], and FINRA sanctioned him, according to disclosures on FINRA BrokerCheck. Brown worked for Northwestern Mutual Investment Services LLC, from March 17, 2014, to December 13, 2024. See below to learn more about Brown’s disclosures. FINRA Sanctioned Raymond Brown For Failure […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com