Zhi Ying Guan (CRD#7000349) and EMERSON EQUITY LLC

The Securities Lawyers at Halling & Cayo, S.C. are intersted in talking to customers that believe that they may have potential claims against Zhi Ying Guan (CRD#7000349) related to securities recommended or sold to you. Previously Reported Complaints include:

Claim(s) Made Against Zhi Ying Guan:

Claim Date: 2/19/2026

“Breach of contract, violation of securities laws and Regulation Best Interest”

This claim, as of this posting, is currently Pending with a claim amount of $50,000.00 .

Claim Date: 8/27/2025

“Breach of contract and warranties, promissory estoppel, consumer protection and deceptive trade practices act, violation of securities statutes, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest”

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

Claim Date: 8/5/2025

“Breach of contract and warranties, promissory estoppel, violation of consumer protection and deceptive trade practices act, violations of securities statutes, breach of fiduciary duty, claims under common law, vicarious liability, violation of Regulation Best Interest”

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

See more information on FINRA’s BrokerCheck site for Zhi Ying Guan.

Did you have a negative experience with Zhi Ying Guan?

Brokerage firms have the responsibility to oversee all representatives who are registered with their firm, including Zhi Ying Guan, and must ensure that they adhere to all securities rules, regulations, and internal policies. If a brokerage firm fails to do so, it may be held responsible for investment losses sustained by customers due to a lack of supervision.If you were a client of Zhi Ying Guan and EMERSON EQUITY LLC from SAN MATEO, CA, and experienced any issues or problems, the Securities Lawyers at Halling & Cayo, S.C. are interested in discussing the possibility of a claim with you. (A further explanation is here, My Financial Advisor lost my money, what now?.)

The Securities Lawyers at Halling & Cayo S.C. bring claims on behalf of individual(s) and/or groups of investors for recovery of their funds. Most customers will have signed a FINRA arbitration agreement to resolve disputes, including claims for reimbursement of investment losses. As the SEC reminds investors, it can be important to find an attorney that “specializes in resolving securities complaints.” (See our video, What are the steps of a FINRA Arbitration.) If you were a customer of Zhi Ying Guan and EMERSON EQUITY LLC and suffered investment losses, please contact the Securities Lawyers. We only get paid if we recover your money. Your claim may be subject to a time limit or statute of limitations, so contact an attorney right away.
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 .

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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