National investment loss lawyers KlaymanToskes is investigating broker Ryan Finch (CRD# 6379871)of Emerson Equity.
According to FINRA BrokerCheck, broker Ryan Finch is involved in a customer complaint alleging between $500,000 and $1,000,000 in investor damages. The complaint relates to unsuitable real estate investments at Emerson Equity and alleges Breach of contract and warranties, promissory estoppel; violation of state securities statutes; violation of Regulation Best Interest; breach of fiduciary duty; claims under common; vicarious liability. A second customer complaint alleges $542,000 in damages, while a third pending customer complaint alleges $250,000 in damages.
Investors that suffered losses with broker Ryan Finch are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Financial advisor Ryan Finch, of Emerson Equity, is currently facing a pending customer complaint alleging between $500,000 and $1,000,000 in investor damages. The investor allegedly suffered losses in real estate securities. The complaint alleges Breach of contract and warranties, promissory estoppel; violation of state securities statutes; violation of Regulation Best Interest; breach of fiduciary duty; claims under common; vicarious liability. The broker’s comment listed on the disclosure states: “I unequivocally deny the customer’s allegations of lack of due diligence and improper investment advice. All recommendations were made in accordance with client’s stated investment objectives, risk tolerance, and financial profile, as documented int he account records. The client was provided with appropriate disclosures and executed all necessary documentation prior to the transactions in question. I acted in good faith and in full compliance with firm policies and regulatory standards.”
A second customer complaint alleges $542,000 in investor damages due to Violation of Federal Securities Laws; Violation of the Colorado Securities Act; Violation of the Colorado Consumer Protection Act; Breach of Contract; Common Law Fraud; Breach of Fiduciary Duty; Negligence and Gross Negligence. The broker’s comment listed on the disclosure states: “I unequivocally deny the customer’s allegations of lack of due diligence and improper investment advice. All recommendations were made in accordance with client’s stated investment objectives, risk tolerance, and financial profile, as documented int he account records. The client was provided with appropriate disclosures and executed all necessary documentation prior to the transactions in question. I acted in good faith and in full compliance with firm policies and regulatory standards.”
A third complaint is also pending and alleges $250,000 in damages due to Breach of fiduciary duty; negligence; and violation of Regulation BI. Finich is registered as a broker and investment advisor with Emerson Equity in Greenwood Village, CO.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Ryan Finch, or have concerns regarding your investment portfolio at Emerson Equity,or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.