Investors potentially incurred losses because of securities broker Christine Maushardt (also known as Christine Cardwell and Christine Knapp) [CRD: 5520504, Pearl River, New York], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Maushardt has worked for Cetera Investment Services LLC since June 19, 2019, and Cetera Investment Advisers LLC since June 21, 2019. See below to find out more about Maushardt’s disclosure.
Specifically, on January 22, 2026, a Cetera Investment Services LLC client filed FINRA Arbitration No. 25-01935 about Christine Maushardt. Mainly, the client alleged that Maushardt sold an annuity that was not in the client’s best interest. For this reason, the client allegedly incurred damages on variable annuities. As a result, the client requested $100,000 in compensation from Cetera Investment Services LLC or Maushardt. BrokerCheck shows that this arbitration awaits a resolution.
Generally, breach of fiduciary duty means a securities broker or financial advisor allegedly failed to put a client’s interests first when giving investment advice. Unsuitable recommendations generally involve claims that the financial professional recommended an investment that did not fit the client’s age, risk tolerance, objectives, liquidity needs, or financial situation. For variable annuities, these concerns may involve fees, surrender charges, long holding periods, complexity, or market risk.
Do you need clarity on any investment losses relating to Christine Maushardt? If so, reach out to Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of individuals throughout the country. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Maushardt and brokerage firms Maushardt worked for deny allegations of sales practice violations.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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