Brian Nelson (CRD #5065593) settled a customer dispute naming Emerson Equity for $136,944, according to his BrokerCheck report. The claim, filed June 9, 2025 under docket number 25-01170, alleged violation of federal securities laws, violations of the California Securities laws, California unfair, unlawful, and fraudulent business practices, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence. BrokerCheck shows it settled on September 23, 2026.

Kim Thien Tran (CRD #5575725, Sugar Land, Texas) was suspended from association with any FINRA member in all capacities for nine months, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026. An AWC issued on July 2, 2026 found that Tran falsified documents and information relating to a customer's life insurance policy and commingled customer funds with her own. Tran consented to the sanctions and to the entry of findings without admitting or denying them, according to the AWC.