Haselkorn & Thibaut, a national law firm with a 98% success rate and decades of investment fraud litigation experience, has opened an investigation into Wendy Che, a financial advisor based in San Mateo, California, and currently registered with Emerson Equity. With millions recovered for their clients, Haselkorn & Thibaut offers a free, no-obligation consultation to help investors review their options if they’ve experienced questionable or unsuitable investment recommendations. No recovery, no fee.
If you’re concerned about investments made through Wendy Che or Emerson Equity, don’t hesitate to call Haselkorn & Thibaut at 1-888-885-7162 today.
Overview of Wendy Che – Emerson Equity Advisor in San Mateo, CA
Table of Contents
Wendy Che (CRD# 6911319) is a registered broker and investment advisor with Emerson Equity, operating out of San Mateo, California. She has approximately seven years of experience in the securities industry. Since 2019, Wendy Che has been affiliated with Emerson Equity after previously working with Independent Financial Group in Diamond Bar, CA.
Her registration details include:
- Current Firm: Emerson Equity
- Prior Firm: Independent Financial Group (Diamond Bar, CA)
- Licenses Held: California, Florida, Maryland, Nevada, Texas
- Industry Exams Passed: Securities Industry Essentials (SIE), Uniform Combined State Law (Series 66), General Securities Representative (Series 7)
All qualification details were last confirmed as of January 17, 2026.
Summary Table: Wendy Che’s Registration and Disclosures
| Item | Details |
|---|---|
| Name | Wendy Che |
| CRD Number | 6911319 |
| Current Firm | Emerson Equity |
| Location | San Mateo, California |
| States Licensed | CA, FL, MD, NV, TX |
| Securities Exams Passed | SIE, Series 66, Series 7 |
| Disclosures | See below for complaint details |
Wendy Che: Complaint and Investor Allegations
Financial Industry Regulatory Authority (FINRA) BrokerCheck records show one pending investor complaint against Wendy Che. The complaint was filed in December 2025 and is currently unresolved. The specifics of the claim are as follows:
- Nature of Allegations: The client alleges, while Wendy Che was representing Emerson Equity, that she:
- Breached contract
- Acted negligently in the handling of investments
- Breached fiduciary duty
- Violated FINRA rules and Regulation Best Interest (Reg BI)
- Violated both state and federal securities laws
- Damages Sought: $200,000
- Status: Pending (as of January 2026)
It is important to note that all individuals named in complaints are presumed innocent until the matter is resolved. However, investors should see these claims as a sign to carefully review the history of their financial professional and ensure proper due diligence.
Understanding Regulation Best Interest & Fiduciary Duties
Advisors—like Wendy Che—must adhere to the Regulation Best Interest rule under the Securities Exchange Act of 1934. This rule insists that brokers act in the best interest of retail customers when offering investment recommendations. Put simply, an advisor’s recommendations should not put their own interests, or those of their firm, ahead of the investor’s needs and goals.
Reg BI is closely related to the longstanding suitability rule under FINRA. Both are designed to protect investors and ensure that investment recommendations fit each customer’s financial profile, objectives, and risk tolerance.
Other Red Flags and Ongoing Monitoring
Wendy Che currently has no regulatory actions, criminal disclosures, civil judgments, other lawsuits, or reported regulatory investigations on her record according to the latest BrokerCheck report and legal news searches. For investors, this means:
- No other customer-initiated arbitrations or complaints are present in her records
- No reported actions by the SEC or FINRA other than the pending customer claim
- No media-reported lawsuits or settlements as of the most recent reporting date
For the most up-to-date information on any financial professional, refer to FINRA BrokerCheck.
Checklist: How Investors Can Protect Themselves
- Regularly check your advisor’s record for new complaints or disclosures
- Ask detailed questions about recommended investments and their risks
- Keep copies of all communications, statements, and investment agreements
- Know your rights if you feel you’ve been given unsuitable investment advice or weren’t properly informed about risks
- Never hesitate to consult with experienced investment fraud attorneys—your first consultation with Haselkorn & Thibaut is always free and confidential
In Summary: What Should Investors Do Next?
If you’ve worked with Wendy Che of Emerson Equity in San Mateo, California, and have questions or concerns about your investments, now is the time to review your accounts. Even a single unresolved complaint or pending claim—especially for substantial damages—should prompt a closer look, as it may reflect broader issues in advice or firm oversight.
Haselkorn & Thibaut is actively investigating this matter. With over 50 years of combined experience, a high success rate, and a “no recovery, no fee” promise, our national team is prepared to help you explore your options and seek any recovery for possible losses.
Protect your financial future: Call Haselkorn & Thibaut at 1-888-885-7162 for a free consultation today—take the first step toward clarity and peace of mind.
