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Tim Brown: $100K-$500K Complaint Against Emerson Equity Advisor
San Mateo financial advisor Tim Brown (CRD# 1663519) recently received an investor complaint alleging six-figure damages in connection with a corporate bond investment. Financial Industry Regulatory Authority records show that he is a broker with Emerson Equity, having previously registered with Newbridge Securities.
Mr. Brown’s BrokerCheck report one investor complaint. Filed in May 2023, it alleges that as a representative of Emerson Equity, he breached his fiduciary duty and acted negligently in connection with a corporate bond investment. The pending complaint alleged damages between $100,000 and $500,000.
A second disclosure on Mr. Brown’s BrokerCheck report concerns his 1994 sanction by the National Association of Securities Dealers. The sanction alleged that as a representative of Thomas James Associates and Presidential Brokerage, he executed unauthorized transactions in the accounts of public customers. In connection with these findings, he was censured and issued a fine of $5,000.
According to the Financial Industry Regulatory Authority, Tim Brown holds 34 years of securities industry experience. Based in San Mateo, California, he has been a broker with Emerson Equity since 2016. His past registrations include Newbridge Securities Corporation (Cardiff, California; 2013-2016), Newport Coast Securities (Cardiff by the Sea, California; 2011-2013 and 2009-2011), Independent Financial Group (Cardiff, California; 2013), QA3 Financial Corporation (2009), Pacific West Securities (2007-2009), Brookstreet Securities (2006-2007), the Concord Equity Group (2006), First Wall Street (1997-2006), Cohig & Associates (1995-1997), Presidential Brokerage (1994-1995), Thomas James Associates (1990-1994), San Marino Securities (1990), Aesir Securities (1989-1990), the Stuart-James Company (1989), Home Life Insurance Company (1988-1989), and WS Griffith & Company (1988-1989). His credentials include the passage of four securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in California and Florida. Information current as of June 24, 2023.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.