Emerson Equity LLC broker Ronald Cole (CRD# 1434325) is accused of real estate investment losses. He has been registered with Emerson Equity LLC in San Mateo, California, since 2024. He was registered with the following brokerage firms:
- Great Point Capital LLC in Chicago, Illinois, from January to August 2024
- Emerson Equity LLC in San Mateo, California, from 2020 to 2024
- Great Point Capital LLC in Newport, Rhode Island, from February to March 2020
- Colorado Financial Service Corporation in Newport, Rhode Island, from 2018 to 2020
- Money Concepts Capital Corp. in Wethersfield, Connecticut, from January to May 2018
- Inland Securities Corporation in Oak Brook, Illinois, from 2016 to 2017
- Edi Financial, Inc. in Lake Como, New Jersey, from 2013 to 2016
Ronald Cole Customer Complaints
He has been the subject of two customer complaints in 2025, according to his CRD report:
December 2025. “Suitability.” The case is currently pending. The complaint was regarding real estate securities, and it took place while he was registered with Emerson Equity LLC.
October 2025. “Breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of the Massachusetts Uniform Securities Act Part 1, Chapter 110A, Section 101, sales and purchases and federal securities laws, violation of Best Interest Obligation.” The case is currently pending. The complaint was regarding real estate securities, and it took place while he was registered with Emerson Equity LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Emerson Equity LLC may be liable for investment or other losses suffered by Ronald Cole’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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