Haselkorn & Thibaut, a leading national investment fraud law firm, has launched an investigation into Christopher Norton (CRD #5386000), a financial advisor based in Irvine, California. If you have invested with Mr. Norton or have concerns about your investments at Boustead Securities or Sutter Securities, this resource will provide key insights into his record, potential red flags, and guidance on next steps for investors.
Comprehensive Review: Christopher Norton, Boustead Securities Advisor in Irvine, CA
Table of Contents
Seeking information about your financial advisor is the first step in safeguarding your investments. Below, you’ll find a clear overview of Christopher Norton’s professional background, complaint history, and firm associations. Haselkorn & Thibaut has extensive experience helping investors recover losses due to unsuitable investment recommendations or broker misconduct. Your financial well-being matters, and we’re here to provide clarity and support.
Advisor Profile
| Field | Value |
|---|---|
| Advisor Name | Christopher Norton |
| CRD Number | 5386000 |
| Current Broker-Dealer | Boustead Securities |
| Investment Advisor Registration | Sutter Securities |
| Location | Irvine, California |
| Years of Experience | 17 Years |
| State Licenses | 49 States |
Christopher Norton’s Registration and Exam History
- Registered Broker with Boustead Securities (since 2023)
- Registered Investment Advisor with Sutter Securities (since 2023)
- Previously registered with the following firms:
- Aegis Capital
- I-Bankers Direct
- IAA Financial
- Obsidian Financial
- Brookstone Securities
- Blackbook Capital
- Prestige Financial Center
- John Thomas Financial
- Westrock Advisors
- Passed SIE, Series 65, Series 63, and Series 7 exams
Disclosure and Complaint Overview
Christopher Norton’s FINRA BrokerCheck profile currently reveals a clean disciplinary record with no customer lawsuits, regulatory actions, criminal disclosures, or bankruptcy filings. He is registered with both Boustead Securities and Sutter Securities as of 2023. Access his official BrokerCheck record here.
However, Haselkorn & Thibaut has identified a pending investor complaint that alleges Mr. Norton, during his tenure at Aegis Capital, recommended an unsuitable alternative investment. This complaint was filed in August 2025 and claims damages totaling $99,500. Although the claim remains open and allegations are not findings of wrongdoing, this event may raise concerns for investors evaluating their relationships and past investment recommendations.
History of Reported Complaints and Disclosures
| Date Filed | Allegation | Status | Damages Requested | Brokerage Affiliation at Time |
|---|---|---|---|---|
| August 2025 | Unsuitable alternative investment recommendation | Pending | $99,500 | Aegis Capital |
Suitability Responsibilities and Investor Rights
Brokers and advisors are strictly regulated. Under FINRA Rule 2111 (suitability rule) and the more recent Regulation Best Interest, a broker must only recommend financial products that are appropriate for each customer’s needs and profile. This includes factors such as age, investment experience, financial condition, risk tolerance, and goals. If an advisor recommends products or strategies that aren’t suitable—especially for investors who are risk-averse—clients have the right to pursue action and seek potential recovery of losses.
Haselkorn & Thibaut’s investigation into Mr. Norton centers on these responsibilities and whether investors may have received recommendations misaligned with their profiles. If you have concerns about your alternative investments or believe you were steered toward high-risk products, we urge you to consider a review of your accounts.
Litigation and Regulatory Record
- No regulatory actions by the SEC or FINRA are reported as of November 2025.
- No court cases at the federal or state level involving Mr. Norton in his capacity as a financial advisor.
- No other public complaints such as tax liens, judgements, or similar disclosures reported in public databases.
While the overall record appears clean, the pending $99,500 complaint for unsuitability at Aegis Capital is a noteworthy consideration, especially for current or former clients questioning past investment recommendations.
What Should Investors Do Next?
- If you invested with Christopher Norton, Boustead Securities, or Sutter Securities and have concerns about your portfolio, now is the time to act.
- Haselkorn & Thibaut invites you to a free and confidential consultation to review your situation and explore your options.
- Our firm has a 98% success rate and has recovered millions for investors, with a simple promise: no recovery, no fee.
Contact Haselkorn & Thibaut – Protect Your Investments
Your experience and peace of mind are our top priorities. If you have questions about Christopher Norton (CRD 5386000) or are concerned about suitability or investment losses at Boustead Securities or Sutter Securities, reach out today. We have over 50 years of experience in fighting for investors nationwide.
Call now for your free case review: 1-888-994-8066
Stay informed and take proactive steps. The review is always free, and our team is standing by to help you make informed decisions about your financial future.
