Investors potentially experienced sales practice violations by securities broker Zhi Ying Guan (also known as Jeff Guan and Jeffrey Guan) [CRD: 7000349, San Mateo, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zhi Guan worked for Emerson Equity LLC since December 18, 2020. Keep reading for a better understanding about the disclosures involving this securities broker.
Particularly, on January 21, 2026, an Emerson Equity LLC client filed FINRA Arbitration No. 26-00125 about Zhi Guan. Mainly, the client alleged that Guan violated securities laws and Regulation Best Interest and breached a contract. For this reason, the investor allegedly sustained damages connected to real estate securities. Consequently, the client requested $50,000 in compensation from Emerson Equity LLC or Guan. BrokerCheck shows that this arbitration is ongoing.
Specifically, on August 27, 2025, an Emerson Equity LLC client filed FINRA Arbitration No. 25-01785 about Zhi Guan. Primarily, the client alleged that Guan breached his fiduciary duty, violated securities statutes, breached a contract, and violated Regulation Best Interest, along with other claims. Because of this, the client allegedly incurred damages associated with REITs. As a result, the client requested between $500,000 and $1,000,000 in compensation from Emerson Equity LLC or Guan. BrokerCheck shows that this arbitration is pending a resolution.
Notably, a client of Emerson Equity LLC contested Zhi Guan’s sales practices by filing FINRA Arbitration No. 25-01596 on August 5, 2025. Allegedly, Guan breached a contract, violated Regulation Best Interest, breached his fiduciary duty, and violated securities statutes, along with related claims. It appears that Guan allegedly caused the client to sustain damages relating to real estate securities. Therefore, the client seeks compensation from Emerson Equity LLC or Guan in the amount of between $1,000,000 and $5,000,000 in this ongoing matter.
Did you experience losses because of Zhi Guan? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for many investors throughout the US. Also, the firm works on a contingency fee arrangement and advances all costs. Guan and brokerage firms Guan worked for deny any accusations of sales practice violations.
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