Investors potentially experienced sales practice violations by securities broker Chad Kristopher Mehle [CRD: 7008517, Irvine, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mehle worked for J.P. Morgan Securities LLC from September 20, 2023, to March 25, 2026, and previously worked for Merrill Lynch from July 5, 2022, to […]

Investors apparently complained about securities broker Christopher Todd Norton [CRD: 5386000, Boca Raton, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Norton worked for I-Bankers Direct LLC from February 15, 2019, to August 28, 2023, Sutter Securities Incorporated since August 28, 2023, and Boustead Securities LLC since October 4, 2023. Keep […]

Investors potentially experienced sales practice violations by securities broker Derek Amron Grimm [CRD: 3000890, Winter Park, Florida], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grimm worked for Merrill Lynch from February 18, 2010, to August 31, 2022, before joining RBC Capital Markets LLC on August 30, 2022. Readers should […]

Investors might have sustained losses due to securities broker Sean Patrick Hurley [CRD: 6808402, Chicago, Illinois], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hurley worked for National Securities Corporation from October 24, 2017, to July 22, 2022, and has been registered with B. Riley Wealth Management since July 22, 2022. See […]

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 […]

Investors apparently complained about securities broker Jacob Neal Martin [CRD: 6226288, Columbus, Indiana], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin worked for MML Investors Services LLC beginning January 9, 2014, as a securities broker and since July 8, 2016, as a financial advisor. Investors are encouraged to continue reading to […]

Investors have reportedly disputed the sales practices of securities broker William Courtwright (also known as Bill Courtwright) [CRD: 2619811, Paramus, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Courtwright worked for Ameriprise Financial Services LLC in Paramus, New Jersey, since June 26, 1995, and as a financial advisor with the firm […]

Investors might have suffered losses due to securities broker Paula K. Petersen (also known as Paula Schamberger) [CRD: 7078487, Aspen, Colorado], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Petersen worked for NYLIFE Securities LLC from April 2, 2019, to June 20, 2024, and Hornor, Townsend Kent LLC from June 17, 2024, […]

Investors potentially incurred losses because of securities broker Garett I. Engel [CRD: 7708570, New York, New York], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Engel worked for Morgan Stanley from April 28, 2023, to the present as a securities broker and from May 25, 2023, to the present as […]