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 Matthew R. Carbray [CRD: 4565811, Northampton, Massachusetts], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carbray has worked for Kestra Investment Services LLC since July 21, 2006, and Kestra Advisory Services LLC since April 19, 2016. Continue reading to learn more about Carbray’s […]
Investors apparently complained about securities broker Juan Pablo Benavides [CRD: 4288007, Miami, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benavides has worked for Merrill Lynch as a securities broker since November 22, 2000, and as a financial advisor since March 15, 2004. See below to find out more about […]
Investors potentially incurred losses because of securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leff has worked for Carter Terry Company Inc. as a securities broker since October 6, 2016, and as a financial advisor since October 21, 2016. Keep reading to discover […]
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