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Scott Michael Ozer with Emerson Equity LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year

Who is Scott M. Ozer with Emerson Equity LLC?

Scott Ozer (CRD #1009252) who is currently registered with Emerson Equity LLC and located in Agoura Hills, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Emerson Equity LLC, Scott Ozer was associated with Sandlapper Securities, LLC and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Sandlapper Securities, LLC Broker Misconduct

In his career, Scott Ozer has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Both of those complaints recently filed arose in connection with Scott Ozer’s employment at Sandlapper Securities, LLC. One of those complaints was denied by his former brokerage firm and the customer never pursued any further action. There are currently 2 pending customer complaints filed against Scott Ozer’s former employer, Sandlapper Securities, LLC for investment losses caused by his alleged misconduct.

Allegations Against Scott Ozer

A sample of the allegations made in the FINRA reported arbitration claim pending complaints for investment losses are as follows:

  • Client alleged that stock purchases were unsuitable for him.
  • Claimants alleged breach of fiduciary duty, breach of written contract, breach of oral contract, violation of federal and state securities laws, and violation of FINRA rules of fair practice.
  • Client’s alleged breach of fiduciary duty, breach of contract and violations of federal and state securities laws involving real estate securities investments.

Scott Ozer Red Flags & Your Rights As An Investor

Of course, Scott Ozer did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Scott Ozer at Emerson Equity LLC and Sandlapper Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Scott Ozer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Sandlapper Securities, LLC also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Emerson Equity LLC And Sandlapper Securities, LLC

If you have questions about Emerson Equity LLC, Sandlapper Securities, LLC and/or Scott Ozer and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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