James Michael Whitson (CRD#1353438) and EMERSON EQUITY LLC

If your broker hurt your retirement, you may be able to recover

If a customer makes a complaint regarding a broker, it must be reported to the appropriate regulatory bodies, ensuring that a record of the dispute is available to the public.

Halling & Cayo, S.C. is evaluating legal claims involving this financial advisor's conduct. We encourage customers who believe they may have a cause of action related to these investment recommendations to reach out to our securities lawyers.

Claim(s) Made Against James Michael Whitson:

Claim Date: 2/10/2026

“Breach of contract; negligence; negligent misrepresentation; fraud; breach of fiduciary duty; violations of California Corporations Code; violations of the Securities Exchange Act; violations of the California unfair competition law. trades placed between 2016 and 2017”

This claim, as of this posting, is currently Pending.

See more information on FINRA’s BrokerCheck site for James Michael Whitson.

Did you have problems in an account managed by James Michael Whitson?

Millions of dollars are lost each year by investors due to breaches of duty by their brokers or the firms they work for, we help investors recover that money. If you were a customer of James Michael Whitson and EMERSON EQUITY LLC and experienced investment losses, please contact the Securities Lawyers. (See more detail in our video, What are the most common securities cases?.) We only receive payment if we are able to recover your money, and you may be eligible for financial compensation. It is important to note that there may be time limits or statutes of limitations that apply to your claim, so it is crucial to speak with an attorney as soon as possible.
Learn about potential claims for investment recovery, Types of Broker Misconduct and Fraud , or about the FINRA arbitration process, Guide to the FINRA Arbitration Process .

If you were a client of James Michael Whitson and EMERSON EQUITY LLC from Santa Barbara, CA and had lost money in your account that does not seem right, we are interested in discussing the possibility of pursuing a claim on your behalf. (The value of having a lawyer look at your claim is discussed more thoroughly in our video, Do I need a lawyer for my FINRA arbitration?.) Brokerage firms are responsible for overseeing the actions of their registered representatives and must ensure that their financial advisors comply with all relevant regulations and company policies. The brokerage firm may be held liable for any investment losses suffered by customers due to their failure to properly supervise their agents, such as James Michael Whitson. The Securities Lawyers at Halling & Cayo, S.C. have helped investors recover millions of dollars in the past.

Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.

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