Advisor Alert: Our Attorneys Are Investigating Fred Chen For Investment Fraud

Did You Lose Money Because of Fred Chen?

Filed: March 11, 2024

Fred Chen currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Fred Chen.

Who Is Fred Chen of Emerson Equity LLC?

  • Advisor Name: Fred Chen
  • Aliases: Fred Chen
  • CRD: 5766069
  • Location: Irvine, California
  • Current Employer: Emerson Equity LLC
  • Previous Firms: Arque Capital, Ltd. and LPL Financial LLC
  • Number of Known Customer Complaints: 1
  • Can Fred Chen Be Sued: Yes, in Private Arbitration
  • Can Fred Chen’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
  • Highest Damages Allegation: $100,000
  • Highest Settlement: Unknown

If you have suffered investment losses by Fred Chen, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a failure to supervise lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Fred Chen For Broker Misconduct

As of this publication date, Fred Chen has been the subject of 1 customer dispute. Let’s review it below.

In December 2022, a FINRA arbitration was filed against or in reference to Fred Chen by a customer of Emerson Equity LLC alleging negligence, negligence-violation of best interest, misrepresentations & omissions, omission of material facts, unsuitable recommendations, breach of fiduciary duty, violations of FINRA rules 2010,2020,2110,2111,2114,2310,3010 & 3110, breach of contract, and fraud. Per the customer, he/she lost over $100,000 because of Mr. Chen’s actions. As of this publication date, this claim remains pending.

How To File A Claim Against Fred Chen of Emerson Equity LLC (previously with Arque Capital, Ltd. and LPL Financial LLC) To Get Your Money Back

If you have questions about Fred Chen, Emerson Equity LLC, Arque Capital, Ltd., LPL Financial LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.