Colorado securities law is among the grounds in a pending arbitration filed October 14, 2026, naming Ryan Finch (CRD 6379871). The claimants list $450,000 in alleged damages over a limited partnership investment at Emerson Equity.
BrokerCheck shows other pending claims and settled disputes on the same report. Every pending allegation is unproven, and no arbitrator has ruled on any of them.
Docket 26-00660 came first, filed March 31, 2026, over a non-traded REIT or real estate purchase dated 04/14/2022. The customer alleged negligence, negligent misrepresentation and omission, breach of fiduciary duty and breach of contract. That disclosure also cites Regulation Best Interest, federal securities laws, California Corporations code violations and FINRA rule 2111 and 2010. It settled for $36,250 against alleged damages of $280,000.
Eric James Bell's BrokerCheck report lists the same case number. In a statement, Ryan Finch denied the allegations and said his recommendations matched the client's stated objectives and risk tolerance.
Next came docket 26-00712, filed May 18, 2026, over a purchase dated 7/21/2022. Its allegations track the earlier claim, adding omissions of material facts. That dispute listed $141,146 in alleged damages and settled for $18,532. Dominic Julio Baldini's BrokerCheck report lists the same case number, and Finch's statement denies "all of the customer's allegations" there as well. A settlement is not an admission of wrongdoing.
BrokerCheck shows docket 25-01398, filed July 9, 2025, still pending with $542,000 in alleged damages. It involves a non-traded REIT or real estate product. Ryan Finch's statement denies allegations of "lack of due diligence and improper investment advice." Eric James Bell's report lists the same case number.
Docket 25-02459 followed on November 11, 2025, naming Emerson Equity. That pending claim alleges breach of fiduciary duty, negligence and violation of Regulation BI, with $750,000 in alleged damages. In his statement, Finch said the client received appropriate disclosures and signed all necessary documentation before the transactions.
Claimants filed docket 25-02644 on April 16, 2026, and it remains pending. The claim alleges breach of fiduciary duty, constructive fraud, negligence and negligence per se, along with violations of the Colorado Securities Act and breach of contract. It lists $676,000 in alleged damages and investments made between 2021 and 2025. Ryan Finch's statement says he "unequivocally" denies those allegations.
Docket 26-02292 is the newest pending matter. Its disclosure alleges breach of fiduciary duty, violation of Colorado's Securities Act, negligence and negligence per se, plus negligent misrepresentation and omission.
A statement of claim can plead several legal theories at once. Customers often combine state securities statutes, common-law negligence and FINRA conduct rules. A long list says nothing about the strength of any single theory.
When we review a multi-theory claim, we look first at which state's securities act applies. The theories on Ryan Finch's report vary from claim to claim. Separately, a docket number follows the case, so each broker a claim names can show the same number.
The SEC's Regulation Best Interest took effect in June 2020. It requires a broker dealer to act in a retail customer's best interest when making a recommendation. In addition, the firm and its representative cannot put their own interests ahead of the customer's.
FINRA Rule 2111 requires a broker to have a reasonable basis to believe a recommendation suits the customer. To get there, the broker must look at the customer's investment profile. That profile includes age, financial situation, risk tolerance, and investment objectives.
FINRA member firms must supervise the activities of their brokers. If you have questions about an account that Ryan Finch handled, call Soreide Law Group at (888) 760-6552. You can also reach us online to speak with a securities attorney. FINRA arbitration is a national forum, so we represent investors in FINRA arbitration across the country. We handle these claims on a contingency fee basis. Learn how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of November 4, 2026. Allegations in customer complaints and arbitrations are claims, not findings. Pending claims remain open and undecided. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
An $8,500,000 customer arbitration filed September 29, 2026, names Joseph Langlois (CRD 4216281) and Dfpg Investments. BrokerCheck shows the customer's allegations about alternative investments are pending and unproven. No arbitrator has ruled on them.
Colorado securities law is among the grounds in a pending arbitration filed October 14, 2026, naming Ryan Finch (CRD 6379871). The claimants list $450,000 in alleged damages over a limited partnership investment at Emerson Equity.
Customers filed a pending arbitration on September 17, 2026, naming William Burks (CRD 2944992) and Centaurus Financial. BrokerCheck shows their allegations involve illiquid investments. Burks denies the claim, and no arbitrator has ruled on it.
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