Last Updated: September 2023 (San Mateo, CA )
Timothy E. Brown Investigation Summary
Here’s what you need to know about San Mateo, CA, stockbroker Timothy Eugene Brown:
- Name: Mr. Timothy Eugene Brown
- Current Employer: Emerson Equity LLC
- Previous Firms: Newbridge Securities Corp. , Newport Coast Securities, Independent Financial Group
- Function: Stock Broker/ Financial Advisor
- Aliases: Tim E. Brown, Tim Eugene Brown, Timothy E. Brown
- Primary Location: San Mateo, CA
- CRD 1663519
- Can Tim E. Brown be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: Yes
- Pending Customer Dispute Seeks Damages of between $100,000-$500,000
- Discloses Bankruptcy Filing: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Timothy E. Brown As Your Stockbroker?
In 6/2023 a customer of Newbridge Securities filed a FINRA arbitration alleging that Tim E. Brown committed breach of contract and fraud in connection with the sale of an alternative investment to the customer. No specific damage amount is alleged in this pending matter.
Ij 5/2023 a customer of Emerson Equity filed a FINRA arbitration alleging that Tim E. Brown breached his fiduciary duty and was negligent and seeks damages of between $100,000-$500,000 in this currently pending matter.
Tim Brown discloses the filing of a Chapter 7 bankruptcy proceeding in San Diego, CA, in 2/2020. He was discharged from bankruptcy in 7/2020.
Early in his career, in 1995, Tim Brown was fined $5,000 by the NASD (predecessor to FINRA) to resolve allegations that he made unauthorized trades in customer accounts.
Allegations of Broker Misconduct Against Timothy E. Brown
Customers of Tim E. Brown have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
- Breach of fiduciary duty
Securities regulators have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unauthorized trading in customer’s accounts
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Tim E. Brown, contact us for a complimentary consultation with an experience 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.
