BrokerCheck
FINRA’s public file on brokers and firms. Pending customer disputes are allegations. Settlements are not findings of liability.
A CRD number is the handle. The human page is brokercheck.finra.org/individual/summary/{crd} or /firm/summary/{crd}. The PDF is a snapshot of the same file.
Pending Real Estate Security items are Form U4 summaries. The Statements of Claim are not public. A settlement on that file is not a finding of liability.
Why it shows up here: Tim Sherer (CRD 833618) is on the 4th & J and Vintage Form D selling groups. Nine pending Real Estate Security customer disputes as of 19 Aug 2026. Brian Nelson (CRD 5065593) is an Emerson Equity vice president and on Vintage’s selling group. 23 disclosures. Emerson itself is firm CRD 130032.