Haselkorn & Thibaut, a national law firm with over 50 years of investor advocacy experience, has opened an independent investigation into Dan Pikula, a Wellington, Florida-based financial advisor formerly with Emerson Equity LLC. If you invested with Mr. Pikula or Emerson Equity, this report is designed for you.
Our review covers public complaints, lawsuits, regulatory events, and red flags—so you can make informed decisions, protect your financial interests, and find help if you’ve experienced losses. If you’re concerned, you’re not alone. Call Haselkorn & Thibaut at 1-888-885-7162 for a free, confidential consultation. No recovery, no fee.
Who is Dan Pikula? An Overview
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Dan Pikula (CRD# 2563165) has worked in the securities industry for over two decades, most recently affiliated with Emerson Equity LLC in Wellington, Florida. Pikula’s record includes registration with multiple broker-dealers—including stints at Revere Securities and Newbridge Securities—across Florida and beyond.
Understanding your advisor’s background is crucial for safeguarding your investments. That’s where BrokerCheck by FINRA comes in—Check his official record here.
What Complaints Have Investors Raised?
Highlights of Reported Issues
Complaints and regulatory disclosures concerning Mr. Pikula have included, but are not limited to:
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Allegations of Breach of Fiduciary Duty: Investors have claimed their best interests were not prioritized.
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Negligence and Unsuitable Recommendations: Cases include accusations that inappropriate investments were recommended, resulting in financial losses.
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Fraud and Misrepresentation: Certain complaints involved claims of misleading conduct and false promises.
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Regulatory Disciplinary Actions: Pikula’s record shows regulatory fines and suspensions imposed by state and industry bodies.
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Settlements and Arbitration Awards: Several cases resulted in cash settlements or awards to aggrieved investors.
Table: Examples of Complaints & Resolutions
| Date | Allegation | Claim Amount | Resolution |
|---|---|---|---|
| May 2025 | Breach of fiduciary duty, negligence, fraud | $1.5 million | Pending |
| 2023–2024 | Fiduciary breach, negligence (Emerson Equity) | $400,000 | $150,000 settled |
| 2011 | Negligence, omissions (Newbridge Securities) | $150,651 | $32,500 settled |
| 2002 | Breach of contract, fraud | $25,009.43 & $40,165 | Settled/award |
Regulatory Actions: What Has Been Reported?
Regulatory bodies have also sanctioned Mr. Pikula, including:
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FINRA Suspension and Fine: In 2014, FINRA suspended him for 15 business days and fined him $5,000 for exercising discretion in a client’s account without proper written authorization.
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State of Florida Disciplinary Action: In 2017, Pikula was fined $10,000 for unauthorized discretion and violating the terms of his registration agreement, with restrictions imposed on his business activities.
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Multiple Customer Complaints: BrokerCheck records reflect at least five customer disputes and two regulatory events over Pikula’s career, including claims of fraud, breach of contract, and negligent supervision.
Many of the resolved complaints were settled “for economic reasons,” while some allege Mr. Pikula was not directly at fault. However, the pattern of repeated issues is a sign that investors should review their accounts and communications carefully.
What Should Emerson Equity Investors Know?
Emerson Equity’s Recent Track Record
Emerson Equity, as a broker-dealer, has also faced scrutiny. Multiple broker misconduct complaints have been brought against the firm, particularly involving alternative investments and high-commission products. While every investor situation is unique, knowing about your broker’s—and firm’s—regulatory and legal history is essential for safeguarding your portfolio.
Why These Complaints Matter to You
Red flags like repeated customer complaints, regulatory sanctions, breaches of fiduciary duty, and settlements can be early warning signs. Even when complaints are “denied” by the broker or resolved by firm-only settlements, they warrant further review—especially if your account suffered unexpected losses or you were sold complex, high-risk, or illiquid products.
Signs It’s Time to Seek a Second Opinion
Wondering if your financial advisor acted in your best interest? Here are common warning signs:
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Unclear investment recommendations or absent paperwork
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Sudden or unexplained losses, especially in alternative investments
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Difficulty withdrawing money or unexpected account restrictions
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Transactions implemented without your written authorization
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Investments that seem inconsistent with your goals or risk tolerance
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Pressure to purchase products you don’t fully understand
If you’ve experienced any of these, you deserve answers.
How Haselkorn & Thibaut Can Help
Haselkorn & Thibaut has a long-standing track record: 50+ years’ experience, a 98% success rate, and millions recovered on behalf of investors nationwide. Our attorneys are committed to holding financial professionals accountable and empowering investors just like you.
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Free, confidential consultations—no obligation, ever.
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No recovery, no fee: If we don’t recover money for you, you owe us nothing.
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Personalized case review: We investigate your unique facts and help you understand your options.
Why Call Now?
Time limits apply to securities claims, and evidence can fade. Talking to a lawyer quickly ensures your rights are protected. Even if you’re unsure whether you have a claim, it pays to check.
What You Can Do Next
1. Check your statements: Review your recent investments. Look for any unfamiliar or high-risk products.
2. Document your concerns: Note any losses, emails, or communications that seem unusual.
3. Contact Haselkorn & Thibaut: Our dedicated legal team is ready to help you uncover your options.
Investors: Get Your Free Case Review
If you invested with Dan Pikula at Emerson Equity, and you’re concerned about potential misconduct or losses, call Haselkorn & Thibaut at 1-888-885-7162 today for a free, no-obligation case evaluation. You’ll speak directly with an experienced attorney focused on investor rights.
Don’t wait—your financial future might depend on it.
