JEFF W WEBB is currently registered as a broker since 5/5/2017 with EMERSON EQUITY LLC of San Mateo, California and as an investment advisor with EMERSON EQUITY of Denver, Colorado, since 11/5/2019. JEFF W WEBB was previously listed as an investment advisor with KINGSTONE CAPITAL PARTNERS TEXAS, LLC of Denver, Colorado from 01/05/2018 - 01/02/2020.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JEFF W WEBB has been in the securities industry for 9 years and has been listed with 3 firms. JEFF W WEBB has two disclosures on his FINRA CRD report.
There was a “Customer Dispute” filed against JEFF W WEBB dated 3/18/2025. This dispute is still pending. The allegations are, “Breach of fiduciary duty; negligence; suitability; misrepresentations and omissions of material fact under Colorado Securities Act; negligent misrepresentation; misrepresentation; omission; 2022.” The requested damages are $200,000.00.
According to FINRA, the SEC's Regulation Best Interest under the Securities Exchange Act of 1934, also known as Reg BI, establishes a "best interest" standard of conduct for broker/dealers, investment advisors, and associated persons when they make a recommendation to a retail customer of any securities transaction or investment strategy involving securities, including recommendations of types of accounts.
FINRA also states that a retail customer investment profile includes, but is not limited to, the retail customer's age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information the retail customer may disclose to the broker, dealer, or an associated person of a broker/dealer or investment advisor in connection with a recommendation.
To discuss this article or any other securities issues contact Soreide Law Group and speak to an experienced securities lawyer at no cost at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis.
The private market, once the exclusive playground of institutional investors, has increasingly opened its doors to individual investors seeking a piece of the next unicorn. Funds like the Advanced Technology Select Funds - targeting high-profile private companies such as Flexport, Plaid, and Cybereason - are a prime example of this trend. While the prospect of […]
Soreide Law Group, PLLC At Soreide Law Group, we help investors, shareholders, and publicly traded companies navigate the complex federal rules governing the resale of restricted or control securities. Our attorneys understand that clearing restrictive legends and ensuring compliance with Rule 144 or other resale exemptions can be time-sensitive and critical to protecting shareholder rights. […]
FINRA barred securities broker Emma Marie McAuley [CRD: 7178199, Auburn, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McAuley worked for Edward Jones from November 4, 2019, to March 19, 2024. Keep reading to learn more about McAuley’s disclosures. FINRA Sanctioned McAuley For Failure To Respond Notably, on January 21, 2025, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com