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.
Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]
Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]
Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
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