Haselkorn & Thibaut Opens Investigation Into Zhi Ying (Jeff) Guan, Emerson Equity LLC – San Mateo, CA
Haselkorn & Thibaut, a nationally recognized investment fraud law firm, has launched an investigation into Zhi Ying Guan (CRD 7000349), also known as Jeff Guan or Jeffrey Guan, a broker based in San Mateo, CA and registered with Emerson Equity LLC. If you are an investor who worked with Mr. Guan and have concerns about your investments, now is the time to act. With over 50 years of combined experience, a 98% success rate, and millions recovered for clients nationwide, Haselkorn & Thibaut (investmentfraudlawyers.com) offers free consultations. No recovery, no fee. Call today: 1-888-885-7162.
Who Is Zhi Ying (Jeff) Guan?
Table of Contents
- Name: Zhi Ying Guan (Jeff Guan, Jeffrey Guan, Zhi Ying Jeffrey Guan)
- CRD Number: 7000349
- Employer: Emerson Equity LLC
- Main Office: 155 Bovet Rd., Suite 725, San Mateo, CA 94402
- Branch: 1855 Hamilton Ave., Suite 201, San Jose, CA 95125
- Other Affiliations: Chief Investment Officer at CEREUS Investments; associated with POTOBOX (not investment-related)
What Are The Investor Concerns?
Haselkorn & Thibaut is currently reviewing reports about two pending customer disputes involving Mr. Guan at Emerson Equity LLC. Combined, the damages sought by investors exceed $2 million. Both cases involve recommendations of real estate securities and raise serious suitability and conduct questions.
Summary of Current Claims Against Jeff Guan:
| FINRA Case Number | Allegations | Damages Sought | Filing Date |
|---|---|---|---|
| 25-01785 |
|
$500,000–$1,000,000 + costs | August 2025 |
| 25-01596 |
|
$1,000,000–$5,000,000 + potential punitive damages | August 2025 |
Core Issues and Red Flags for Investors
Investors should be aware of several key points that have been raised in these cases:
- Suitability Concerns: Allegations state that recommendations made by Mr. Guan may not have matched certain clients’ investment objectives and risk profiles. This could violate FINRA Rule 2111 (Suitability).
- Regulation Best Interest (Reg BI) Violations: Claims reference potential failures to act in the client’s best interest when recommending complex or high-risk real estate securities.
- Breach of Fiduciary Duty: Complaints assert that Mr. Guan may not have placed the client’s interests first, another violation of Reg BI’s Care Obligation.
- Misrepresentation & Deceptive Practices: Accusations involve misleading statements or incomplete disclosures regarding investment risks or product features, potentially running afoul of both securities rules and consumer protection standards.
- Breach of Contract/Promissory Estoppel: In some cases, investors allege they relied on promises or information that turned out to be inaccurate or otherwise unsupported.
Background Check Findings – Jeff Guan, Emerson Equity LLC
FINRA BrokerCheck (as of June 2024) for Zhi Ying Guan (CRD 7000349) reveals the following:
- No reported customer-initiated lawsuits or arbitrations prior to the two pending cases described above.
- No regulatory or disciplinary actions from FINRA, the SEC, or state authorities have been disclosed to date.
- No bankruptcies, tax liens, or civil judgments appear on his BrokerCheck record.
- No media reports or news articles highlight professional misconduct or enforcement investigations involving Mr. Guan.
For the most up-to-date background disclosures, you can search directly on FINRA BrokerCheck using “Zhi Ying Guan” or “CRD 7000349”.
Your Next Steps As An Investor
If you have invested with Zhi Ying (Jeff) Guan through Emerson Equity LLC—particularly in real estate or other illiquid securities—review your account statements and recent performance. If you:
- Have experienced unexpected losses
- Were not fully aware of the risks behind certain products
- Feel your investment profile was not thoroughly assessed
- Or have received communications about pending or potential legal actions
It is in your best interest to seek an independent review of your case.
Haselkorn & Thibaut Can Help You Recover Losses
Haselkorn & Thibaut represents investors across the United States in securities arbitration and litigation. The firm’s focus is helping clients recover investment losses due to brokerage misconduct, negligence, or unsuitable advice. Here’s how they support investors:
- No recovery, no fee structure – you only pay if your case is successful
- Free consultations to review your situation and discuss your legal options
- Extensive experience handling claims involving Emerson Equity LLC and similar real estate/private placement cases
- 98% success rate and millions recovered for victims of investment fraud or mismanagement
Contact Haselkorn & Thibaut Today
If you worked with Zhi Ying (Jeff) Guan in San Mateo, CA or through Emerson Equity LLC and have concerns about your investments, don’t wait. The sooner you speak with a knowledgeable attorney, the stronger your options to protect your assets and pursue recovery.
- Call 1-888-885-7162 for a free claim evaluation
- Visit investmentfraudlawyers.com to learn more
Your peace of mind and financial security are the top priority. Contact Haselkorn & Thibaut for professional, confidential guidance and see if you have a claim against Jeff Guan and Emerson Equity LLC.
