Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
Investors might have sustained losses due to securities broker Judith Ann Dolle (also known as Judith Ann Davidson, Judith Ann Levy, Judith Ann Metzger, and Judith Ann Williams) [CRD: 826135, Rancho Mirage, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Judith Dolle worked for LPL Financial LLC from November 22, 2013, to February 13, 2023. Read on to find out more about the disclosures tied to Dolle’s record.
Particularly, an LPL Financial Corporation client filed FINRA Arbitration No. 24-01787 about Judith Dolle. Mainly, the client alleged that Dolle made unsuitable recommendations involving a non-traded real estate investment trust. For this reason, the client allegedly incurred damages associated with the REITs. Consequently, on September 19, 2025 LPL Financial Corporation settled this matter by paying the client $110,000 in damages.
Additionally, a client of LPL Financial LLC disputed Judith Dolle’s sales practices by filing FINRA Arbitration No. 24-00296. Allegedly, Dolle gave unsuitable advice because the investments were not appropriate for the client’s risk tolerance and investment objectives. It appears that Dolle allegedly caused the client to sustain damages linked to real estate securities. As a result LPL Financial LLC agreed to settle the matter on May 6, 2025, by compensating the client in the amount of $38,500.
Notably, on August 2, 2012, a Securities Service Network client filed a complaint about Judith Dolle. Primarily, the client alleged that Dolle made omissions regarding charges and fees and used misleading performance information. Because of this, the client allegedly incurred damages connected to REITs and mutual funds. Therefore, the client requested $14,013.99 in compensation from Securities Service Network or Dolle. However, the firm denied this complaint.
Did you experience losses because of Judith Dolle? Get in touch with Soreide Law Group online or at (888) 760-6552 and speak with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the US. Also, our securities lawyers represent investors on a contingency fee arrangement and advance all costs. Dolle and brokerage firms Dolle worked for deny allegations of sales practice violations.
Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
A customer dispute that settled for $80,000 on July 16, 2026 is the newest entry on the BrokerCheck report of Stephen Kerutis (CRD 2345517). The clients in that matter alleged unsuitable recommendations, and Truist Investment Services is the firm on the disclosure.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
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