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Tony Barouti Of Emerson Equity LLC and Formerly with First Heartland Capital, Inc. Has 33 Customer Complaints For Alleged Broker Misconduct

Who is Tony Barouti of Emerson Equity LLC?

Tony Barouti

Tony Barouti (CRD #3031995) who is currently registered as a broker with Emerson Equity LLC and located in Los Angeles, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Emerson Equity LLC, Tony Barouti was associated with First Heartland Capital, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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or, give us a ring at (800) 732-2889.

Tony Barouti Customer Complaints

Tony Barouti has been the subject of 34 customer complaints that we know about to recover investment losses. Two of the customer complaints were denied by Tony Barouti’s former employers and the customers took no further action. The other 31 customer complaints filed against Emerson Equity for the advisor’s alleged misconduct are still pending in FINRA arbitration proceedings.

Allegations Against Tony Barouti

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

  • Breach of fiduciary duty, negligence, negligent misrepresentation, breach of contract, Violation of Regulation best interest.
  • Violation of California securities laws and related code of regulations.
  • Breach of FINRA rules 2010, 2020, 2110, 2111, 2114, 2310, 3010, and 3110.
  • Elder abuse.
  • Financial exploitation of the senior.
  • Unjust enrichment.
  • Gross negligence.
  • Unsuitable and misleading recommendations, misrepresentations and omissions of material facts, negligence, and breach of fiduciary duty.
  • Violation of California securities act.
  • Fraud and constructive fraud.

Tony Barouti Red Flags & Your Rights As An Investor

Of course, Tony Barouti 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 Tony Barouti at Emerson Equity LLC and First Heartland Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether Tony Barouti has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Emerson Equity LLC and First Heartland Capital, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Emerson Equity LLC Due To Tony Barouti

If you have questions about Emerson Equity LLC, First Heartland Capital, Inc. and/or Tony Barouti 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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