Haselkorn & Thibaut has launched an independent investigation into financial advisor Ron Cole (CRD# 1434325), currently registered with Emerson Equity in San Mateo, California. Investors working with Ron Cole or considering his services should remain aware of all relevant background information, recent investor complaints, and key regulatory obligations. Our nationally recognized investor protection law firm, Haselkorn & Thibaut, is available for a free, confidential consultation at 1-888-994-8066 regarding any questions or concerns about investments made through Ron Cole or Emerson Equity.
Overview: Who Is Ron Cole of Emerson Equity in San Mateo, CA?
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With a career spanning nearly three decades, Ron Cole has built experience in the securities industry across a range of broker-dealers. He is presently a San Mateo, California-based advisor, registered with Emerson Equity and doing business as Cole 1031 Solutions. Investors may find confidence in an advisor’s long track record, but it is equally crucial to take note of their regulatory history and any complaint disclosures.
Professional Background and Licensing
- Current Broker-Dealer: Emerson Equity, San Mateo, CA
- Current Business Alias: Cole 1031 Solutions
- CRD Number: 1434325
- Registered Since: 2024 with Emerson Equity; 29 years of total industry experience
- Licenses Held: Series 7, 63, 65, 66, Securities Industry Essentials (SIE)
- State Registrations: Connecticut, Florida, Kentucky, Maine, Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, Rhode Island
- Previous Firms Include: Great Point Capital, Colorado Financial Service Corporation, Money Concepts Capital, Inland Securities, Allied Beacon Partners, CIBC World Markets Corporation, Merrill Lynch, and more
Recent Complaint: Key Facts and Allegations
According to public records and FINRA BrokerCheck, Ron Cole has one investor complaint currently disclosed. Here are the essential details for investors:
| Date Filed | October 2025 (currently pending) |
| Alleged Damages | $100,000 to $500,000 |
| Core Allegations |
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| Status | Pending |
What This Means for Investors:
When a financial advisor faces investor complaints—particularly ones alleging significant losses or regulatory violations—it serves as a noteworthy signal for clients to review their own accounts and investment strategies. Even a single pending complaint, especially at the $100,000-$500,000 level, highlights a need for due diligence.
Understanding Your Rights as an Investor
All brokers and their firms are bound by standards designed to protect investors:
- Suitability Standard (FINRA Rule 2111): Brokers must only recommend investments that fit the client’s objectives, experience, risk tolerance, and financial situation.
- Best Interest Obligation (Reg BI): Since 2020, brokers must ensure recommendations serve the customer’s best interest—not just their own business goals.
- No Misrepresentation (FINRA Rule 2020): Brokers may not withhold or distort material facts or recommend investments with deceptive, manipulative, or otherwise misleading tactics.
If you suspect your interests may not have been prioritized, or if investments were inadequately explained, you have options to seek guidance—potentially including recouping losses through arbitration or mediation.
Haselkorn & Thibaut: Experienced Representation for Investors
At Haselkorn & Thibaut, we have a nationwide reputation for helping clients recover investment losses caused by misrepresentation, unsuitable advice, or breaches of duty. With over 50 years of combined experience, a 98% success rate, and a strict no recovery, no fee policy, our attorneys are ready to review your situation at no cost.
- Free, confidential consultations – call 1-888-994-8066
- No upfront fees
- Millions recovered for investors nationwide
How to Check Ron Cole’s Record Yourself
- Visit FINRA’s BrokerCheck and search “Ron Cole” or CRD 1434325.
- Review all “Disclosure” sections for active or resolved complaints, regulatory actions, or legal issues.
- Check the SEC’s database for possible enforcement actions against Emerson Equity or the advisor.
Keep in mind: Regulatory records are updated as new disclosures are made, but some complaints, lawsuits, or disciplinary actions may not appear immediately.
Key Takeaways for Investors Considering or Working with Ron Cole, Emerson Equity
- One investor complaint is currently pending against Ron Cole, with allegations of misrepresentation, negligence, and unsuitable investment recommendations resulting in claimed damages up to $500,000.
- No regulatory or disciplinary actions are currently disclosed in public databases as of the latest information.
- Review your investment portfolio regularly and ensure that all recommendations align with your objectives and risk tolerance.
- If you notice losses or unsuitable advice, take action quickly – Haselkorn & Thibaut offers experienced support and a free consultation to guide you.
Contact Haselkorn & Thibaut for Guidance
If you have concerns about investments through Ron Cole of Emerson Equity, or simply want a professional portfolio review, reach out at 1-888-994-8066 for your free, no-obligation consultation. Our attorneys are dedicated to helping investors nationwide safeguard their financial future.
Don’t let uncertainty go unchecked. Protect your investments—and your peace of mind—with one confidential call to Haselkorn & Thibaut.
