Investors potentially incurred losses because of securities broker Raymond Edward DesRosiers (also known as Ray DesRosiers) [CRD: 4621826, Greenwich, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DesRosiers worked for Emerson Equity LLC from March 24, 2017, to May 2, 2022, WealthForge Securities LLC from May 6, 2022, to March 1, 2024, and Eagle Point Securities LLC from March 1, 2024, to November 19, 2025. Keep reading to find out more about DesRosiers’ disclosed client disputes.
Evidently, an Emerson Equity LLC client filed FINRA Arbitration No. 23-03415 about Raymond DesRosiers. Mainly, the client alleged that DesRosiers breached his fiduciary duty and engaged in impropriety, including intentional acts and omissions, and alleged violations of rules, laws, and regulations. Because of this, the client allegedly experienced damages involving corporate bonds. Consequently, on June 1, 2024, Emerson Equity LLC settled this matter by paying the client $27,000 in damages.
Particularly, a client of Emerson Equity LLC contested Raymond DesRosiers’ sales practices by filing FINRA Arbitration No. 23-03416. Allegedly, DesRosiers was negligent and breached his fiduciary duty. The allegations also referenced impropriety, intentional acts and omissions, and alleged violations of rules, laws, and regulations. It appears that DesRosiers allegedly caused the client to experience damages involving corporate bonds. Therefore, Emerson Equity LLC opted to settle the matter on June 1, 2024, by paying the client $3,000.
Did you experience losses because of Raymond DesRosiers? You can contact Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee arrangement and advances all costs. DesRosiers and brokerage firms DesRosiers worked for deny accusations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Phone:
Fax: 1-954-760-6553
Email: [email protected]