Last Updated: January 2026 — San Mateo, CA
Here’s what you need to know about San Mateo, CA stockbroker Jeff Guan:
- Name: Zhi Ying Guan
- Alias: Jeff Guan, Jeffrey Guan, Zhi Ying Jeffrey Guan
- Current Employer: Emerson Equity LLC (registered since 12/18/2020). Main office: 155 Bovet Rd., Suite 725, San Mateo, CA 94402; additional branch: 1855 Hamilton Ave., Suite 201, San Jose, CA 95125.
- Other Business Affiliations:
- CEREUS Investments (investment-related) — Chief Investment Officer; 1855 Hamilton Ave., Ste. 101, San Jose, CA 95125.
- POTOBOX (not investment-related)
- CRD number: 7000349.
- Stockbroker / Financial Advisor: Yes
- Can Broker be Sued in FINRA: Yes
- Two Current Customer Disputes Seek Total Damages in Excess of $2 Million
If you’ve sustained damages from Mr. Guan, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Jeff Guan As Your Stockbroker?
Two pending FINRA arbitrations relate to activity while Mr. Guan has been registered with Emerson Equity LLC and involve Real Estate Securities:
- August 2025 — FINRA Case No. 25-01785. Claimants allege breach of contract and warranties, promissory estoppel, consumer protection and deceptive trade practices, securities-statute violations, breach of fiduciary duty, vicarious liability, and Reg BI violations. Damages sought: $500,000–$1,000,000, plus attorneys’ fees and costs.
- August 2025 — FINRA Case No. 25-01596. Claimants allege similar misconduct tied to real-estate securities and state the claim is for an aggregate between $1,000,000 and $5,000,000, plus potential statutory/punitive damages, interest, costs, and fees.
Allegations of Broker Misconduct Against Jeff Guan
- Unsuitability — recommending investments inconsistent with a customer’s objectives and risk tolerance can violate FINRA Rule 2111 (Suitability); when recommendations are made to retail customers, they also must satisfy SEC Regulation Best Interest (Exchange Act Rule 15l-1).
- Breach of Fiduciary/Best-Interest Obligations — claimants allege failure to act in customers’ best interests in recommending real-estate securities; Reg BI’s Care Obligation is often cited in such claims.
- Misrepresentation / Deceptive Trade Practices — allegations reference consumer-protection and deceptive-trade-practices statutes; deceptive practices are inconsistent with FINRA Rule 2010 (Standards of Commercial Honor).
- Breach of Contract / Promissory Estoppel — claimants assert contractual breaches and reliance on promises concerning investment recommendations.
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of Emerson Equity Brokers
If you have suffered investment losses in an account handled by Jeff Guan, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.