Greg Ritter: $135K Complaint Against Family Financial Advisor

Delaware, Ohio financial advisor Greg Ritter (CRD# 3087358) allegedly violated securities industry rules and regulations, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity, doing business as Family Financial of Central Ohio.

Mr. Ritter’s BrokerCheck report discloses one investor complaint. Filed in September 2024, it alleges that as a representative of Emerson Equity, he breached his fiduciary duty, acted negligently, violated Regulation Best interest, and violated securities industry rules and regulations in connection with investments in corporate bonds. The pending complaint alleges damages of $135,000.

Family Financial of Central Ohio’s website includes a section describing the firm’s values, which include professionalism and integrity. “We are committed to providing unbiased advice and prudent strategies for investing,” the page explains. “Our clients depend on us to choose the right companies with excellent strengths. We earn this faith by choosing carriers that historically maintain uncompromising claims paying ability, a healthy earning stream and investment performance results, consistent with a prudent investment management philosophy.”

According to the Financial Industry Regulatory Authority, Greg Ritter holds 23 years of securities industry experience. Based in Delaware, Ohio, he has been registered as a broker and an investment advisor with Emerson Equity since 2010, doing business as Family Financial of Central Ohio. His past registrations include Chase Investment Services, Fixed Income Securities, New England Securities, Morgan Stanley DW, American Express Financial Advisors, IDS Life Insurance Company, Nationwide Investment Services, Edward Jones, and Signator Investors. His credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Arizona, Colorado, Florida, Georgia, Illinois, Indiana, Ohio, Tennessee, Texas, West Virginia, and Wisconsin. (Information current as of October 28, 2024.)

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