Haselkorn & Thibaut has initiated an independent investigation into financial advisor Troy Robertson (CRD# 6831574), based in San Diego, California, and currently registered with broker-dealer Emerson Equity as well as investment advisor Copley Financial Group. As investor advocates with over 50 years of experience and a 98% success rate, the team at Haselkorn & Thibaut is committed to helping investors who may have concerns about their investments or financial advisors, and is offering free and confidential consultations to those who may have suffered losses.
Who is Troy Robertson?
Troy Robertson is a registered financial advisor with eight years of experience in the securities industry. His professional registrations include broker with Emerson Equity (since 2024) and investment advisor with Copley Financial Group (since 2017). Mr. Robertson is also a representative of Heritage Tax & Insurance and is currently licensed in California, Indiana, and South Carolina. He has successfully passed several securities industry qualifying exams, including:
- Securities Industry Essentials Examination (SIE)
- Uniform Investment Adviser Law Examination (Series 65)
- Uniform Securities Agent State Law Examination (Series 63)
- General Securities Representative Examination (Series 7TO)
Recent Complaints and Allegations
As of November 2025, multiple investor complaints have been filed against Troy Robertson, alleging a range of serious issues. While Robertson had a previously clean slate according to the FINRA BrokerCheck records as of June 2024, recent filings prompt heightened scrutiny.
| Date Filed | Allegations | Damages Sought | Broker-Dealer Represented | Status |
|---|---|---|---|---|
| September 2025 |
|
$100,000 – $500,000 (pending) | Emerson Equity | Pending |
| September 2025 |
|
At least $688,536.32 (pending) | Emerson Equity | Pending |
Understanding the Allegations
The investor complaints filed in September 2025 outline serious accusations, including breach of contract, breach of fiduciary duty, misrepresentation of material facts, and violation of both federal and state securities regulations. Particularly notable is the alleged violation of Regulation Best Interest, which requires brokers to act in the best interest of their clients when making recommendations about securities.
Additionally, FINRA Rule 2020 prohibits brokers from using manipulative, deceptive, or fraudulent devices or contrivances when effecting securities transactions. This means a broker may not misstate or omit material information that could affect an investor’s decision. Should losses occur as a result of such conduct, the broker, and their firm may be held liable.
Track Record Prior to 2025
As of June 2024, public records, including FINRA BrokerCheck, SEC filings, and both federal and state court searches, showed no customer complaints, regulatory actions, lawsuits, or disciplinary measures involving Troy Robertson. This underscores how new these allegations are and why it’s important for investors to monitor their advisors for recent developments.
- FINRA BrokerCheck (as of June 2024): No prior customer complaints, arbitrations, or regulatory events.
- SEC Filings: No enforcement actions or administrative proceedings.
- Federal and State Court Records: No lawsuits or regulatory actions.
- Media/Public Sources: No previous news reports or official disclosures.
Key Takeaways for Investors
- Two significant, pending investor complaints have been reported against Troy Robertson with allegations involving breaches of fiduciary duty and securities law violations.
- The alleged damages sought total over $1.1 million, reflecting substantial investor concerns.
- Regulatory history prior to 2025 was clean; the newly emerged complaints highlight the importance of ongoing vigilance.
- As with any advisor, regular independent checks via FINRA BrokerCheck, the SEC, and state regulatory agencies are recommended.
How Can Haselkorn & Thibaut Help?
Haselkorn & Thibaut is a dedicated national law firm focused exclusively on representing investors in disputes with financial advisors, broker-dealers, and investment firms. Our team’s 98% success rate and “no recovery, no fee” policy mean you can seek expert help without upfront costs or obligations. With over fifty years of combined experience and millions recovered for investors nationwide, our firm is recognized for our deep experience in securities arbitration and litigation.
Take Action and Protect Your Investments
If you or someone you know has invested with Troy Robertson of Emerson Equity or Copley Financial Group and have experienced unexplained losses, questionable transactions, or suspect your investments have not been handled appropriately, you may have rights to recovery. The emerging complaints highlight the necessity of reviewing your portfolio and understanding your options.
Get a Free, Confidential Consultation
You do not need to navigate these concerns alone. The skilled attorneys at Haselkorn & Thibaut are prepared to review your situation at no cost and provide guidance tailored to your circumstances. Our review is confidential, and there is no obligation.
Call Haselkorn & Thibaut today at 1-888-994-8066 for your free consultation, or visit investmentfraudlawyers.com to learn more about how we can help you.
Your best resource is knowledge and timely action. If you have questions about Troy Robertson, Emerson Equity, or any other brokerage activity in San Diego or beyond, reach out today — your financial peace of mind could depend on it.
