Our firm is investigating Emerson Equity LLC financial advisor Ryan Finch (CRD# 6379871) of Greenwood Village, Colorado for potential investment-related misconduct.
Financial Advisor’s Career History
Based on publicly available registration information, Ryan Finch’s securities industry history includes:
- Emerson Equity LLC (CRD# 130032) — Registered Representative/Investment Adviser Representative (registered since April 2020 / May 2020, respectively); branch office listed in Greenwood Village, Colorado.
- Colorado Financial Service Corporation (CRD# 104343) — Registered Representative (September 2017–April 2020) and Investment Adviser Representative (February 2018–April 2020) in the Centennial/Greenwood Village, Colorado area.
- CoBiz Wealth (CRD# 125910) — Investment Adviser Representative (September 2014–March 2017) in Denver, Colorado.
Ryan David Finch Fraud Allegations and Investor Complaints Explained
FINRA BrokerCheck reflects three (3) customer disputes, each reported as pending and involving alleged sales-practice violations tied to real estate securities.
Disclosure snapshot (as listed on BrokerCheck)
- Customer Dispute (FINRA arbitration) — Pending
Docket # 25-02459; Filed 11/10/2025. Allegations include breach of fiduciary duty, negligence, and violation of Regulation Best Interest involving a real estate security. Claimed relief includes a request for $250,000 (plus additional categories of damages and fees). Status: Pending. - Customer Dispute (FINRA arbitration) — Pending
Docket # 25-02118; filing date shown as 11/10/2025 (notice/process served 10/07/2025). Allegations include breach of contract/warranties, promissory estoppel, violation of state securities statutes, Regulation Best Interest, and breach of fiduciary duty, among other claims, involving a real estate security. Claimed relief stated as between $500,000 and $1,000,000 (plus interest, costs, and attorneys’ fees). Status: Pending. - Customer Dispute (FINRA arbitration) — Pending
Docket # 25-01398; Filed 07/08/2025 (complaint received 07/09/2025). Allegations include violations of federal securities laws and the Colorado Securities Act, Colorado Consumer Protection Act, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence, and reference to trades placed in 2021, involving a real estate security. Alleged damages: $542,000.00. Status: Pending.
FINRA Arbitration Docket # 25-01398 (Filed July 8, 2025): Alleged $542,000 in Damages Related to 2021 Trades
This pending matter alleges wide-ranging misconduct claims—spanning alleged securities-law violations, fraud, fiduciary-duty breaches, and negligence—connected to real estate security activity, with alleged damages stated as $542,000, and a reference to trades placed in 2021.
FINRA Arbitration Docket # 25-02118 (Filed November 10, 2025): Claimed Damages Between $500,000 and $1,000,000
This pending arbitration asserts, among other theories, state securities statute violations and Reg BI-related allegations in connection with a real estate security, with claimed damages stated as a range ($500,000–$1,000,000) plus additional requested relief such as fees, interest, and costs.
FINRA Arbitration Docket # 25-02459 (Filed November 10, 2025): Request for $250,000 in Damages and Other Relief
This pending arbitration alleges breach of fiduciary duty and negligence and references Regulation Best Interest in connection with a real estate security, with requested compensatory damages described as $250,000 (plus additional categories of relief).
To obtain a copy of Ryan David Finch’s FINRA BrokerCheck report, visit this link.
Robert Wayne Pearce Is Committed to Recovering Your Investment Losses
FINRA Rule 2111 (Suitability) generally requires that a broker have a reasonable basis to believe a recommendation is suitable based on the customer’s investment profile; in real estate security disputes alleging negligence, fiduciary-duty breaches, or improper advice, suitability analysis often focuses on whether risk, liquidity, time horizon, concentration, and stated objectives were reasonably matched to what was recommended.
FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) is a broad ethical rule that can be implicated when allegations center on whether key risks and limitations were fairly presented or whether investors were steered into transactions without candid, balanced communications, particularly where complaints assert misstatements, omissions, or unfair dealing around complex or illiquid products.
FINRA Rule 2111 (Suitability) generally requires that a broker have a reasonable basis to believe a recommendation is suitable based on the customer’s investment profile; in real estate security disputes alleging negligence, fiduciary-duty breaches, or improper advice, suitability analysis often focuses on whether risk, liquidity, time horizon, concentration, and stated objectives were reasonably matched to what was recommended.
The Law Offices of Robert Wayne Pearce, P.A. is a nationally recognized securities law firm representing investors in FINRA arbitration and securities fraud cases on a contingency fee basis. Robert Wayne Pearce, the founding attorney, has more than 45 years of experience recovering millions for victims of broker misconduct and investment fraud. He previously defended major brokerage firms and now uses that insight to protect investors nationwide. To discuss your case directly with Mr. Pearce, call (800) 732-2889 or email pearce@rwpearce.com for a free consultation.
