Investors might have sustained losses due to securities broker Jason Robert Griffin [CRD: 2725523, Newport Beach, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Griffin worked for Merrill Lynch in Newport Beach, California, and Monterey, California, since July 11, 2019. See below to discover more about disclosures involving Griffin.
Specifically, a client filed a complaint about Jason Griffin. Primarily, the client alleged that Griffin engaged in unauthorized trading and excessive trading during October and November 2025. Because of this, the client allegedly incurred damages. As a result, on March 19, 2026, Merrill Lynch settled this matter by paying the client $21,704.55. Griffin stated that the trades occurred in a managed account according to a signed management agreement.
Excessive trading generally refers to a broker making an unusually high number of trades in a client’s account primarily to generate commissions or fees. Unauthorized trading occurs when a broker places trades in a client’s account without the client’s knowledge or approval. These activities can expose investors to unnecessary risks, costs, and losses.
Do you have questions or concerns regarding investments you made with Jason Griffin? Get in touch with Soreide Law Group at (888) 760-6552 or online and speak with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for individuals throughout the United States. Also, our securities lawyers represent investors on a contingency fee arrangement and advance all costs. Griffin and brokerage firms Griffin worked for deny accusations of sales practice violations.
Investors potentially experienced sales practice violations by securities broker Nicholas Thomas Stafford IV (also known as Nicholas Lance and Lance Stafford) [CRD: 2900449, Atlanta, Georgia], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stafford worked for Bridge Capital Associates Inc. from January 10, 2020, to March 3, 2022, Emerson Equity […]
Investors might have sustained losses due to securities broker Jason Robert Griffin [CRD: 2725523, Newport Beach, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Griffin worked for Merrill Lynch in Newport Beach, California, and Monterey, California, since July 11, 2019. See below to discover more about disclosures involving Griffin. Merrill Lynch […]
Investors potentially incurred losses because of securities broker Frederick V. Sellers (also known as Fred Sellers) [CRD: 2855868, Columbia, South Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sellers worked for Edward Jones in Columbia, South Carolina, as a securities broker since March 26, 1997, and as a financial advisor since February […]
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