Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Michael Gregory Culwell (also known as Mike Culwell) [CRD#: 5989109, Irvine, California]. Michael Culwell is currently registered with Emerson Equity LLC since November 8, 2013, and has 13 years of experience in the securities industry.
Michael Culwell’s employment history includes working for ARI Financial Services, Inc. from March 26, 2013, to November 5, 2013, Xnergy Financial LLC from November 30, 2012, to February 7, 2013, Dimirak Securities Corporation from December 9, 2011, to December 31, 2012, and Heritage Financial Systems, Inc. from October 28, 2011, to November 30, 2011.
Recent disclosures reveal concerns about Culwell’s conduct, including allegations of misrepresentation, unsuitable transactions, and elder abuse.
On January 31, 2024, a client of Emerson Equity LLC filed an arbitration claim alleging misrepresentation and unsuitable transactions. Specific allegations include breach of fiduciary duty, violations of FINRA, NYSE, and SEC rules, negligence, elder abuse, and unjust enrichment. The product involved is a Delaware Statutory Trust. FINRA Arbitration No. 24-01428 is awaiting a resolution. The client requested $444,000 in compensation.
On February 8, 2021, a client of Emerson Equity LLC alleged that Michael Culwell failed to conduct reasonable due diligence, recommended unsuitable transactions, and made material misrepresentations and omissions in recommending securities transactions. The dispute stemmed from transactions involving direct participation programs and limited partnership interests in January and February 2018. Evidently, the firm settled this matter for $130,000. However, Culwell vehemently denied the allegations, asserting his belief in the product’s merits as he was personally invested in it.
If so, reach out to Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney. Soreide Law Group takes cases on contingency, advances all necessary costs, and helps investors nationwide recover losses from sales practice misconduct, though outcomes may vary. Culwell and Emerson Equity LLC deny accusations of sales practice violations.
Investors might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]
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 […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com