Erez Law is currently investigating former Emerson Equity LLC broker William Duffy (CRD# 6726333) regarding who is accused of unsuitable investment recommendations. He has been registered with Innovation Partners LLC in Lone Tree, Colorado, Sharenett Securities LLC in Lone Tree, Colorado, and Direct Source Wealth Advisory in Lone Tree, Colorado, since 2022. Previously, he was registered with the following brokerage firms in the past few years:

• Emerson Equity LLC in Lone Tree, Colorado, from 2019 to 2022
• Accelerated Wealth Advisors LLC in Lone Tree, Colorado, from 2018 to 2021
• Emerson Equity LLC in Denver, Colorado, from 2016 to 2018
• Kingstone Capital Partners Texas, LLC in Commerce City, Colorado, from January to April 2018
• Kingstone Capital Partners Texas, LLC in Commerce City, Colorado, from 2016 to 2017

William Duffy Customer Complaints

He has been the subject of two customer complaints between 2021 and 2022, according to his CRD report:

October 2022. “Negligence, Professional Negligence, Violations of law, unsuitable recommendations, Breach of contract, Breach of Fiduciary Duty, Breach of Securities laws and regulations.” The customer is seeking $100,000 in damages and the case is currently pending. The complaint was related to corporate debt and promissory notes, and it took place while he was registered with Emerson Equity LLC.

November 2021. “Unsuitable investments and breach of fiduciary duty.” The customer sought $218,926.06 in damages, and the case was settled for $10,000. The complaint was related to debt-back assets and direct investments 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 William Duffy’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.