Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has officially opened an investigation into Ryan J Hammett (CRD #7660572), a formerly registered financial advisor with Charles Schwab & Co., Inc. If you invested with Ryan Hammett in Texas, California, or any other state and have concerns about your portfolio, keep reading for expert insights based on our 95+ years of combined securities law experience and insider knowledge as former Wall Street defense attorneys. Our team is committed to helping you recover investment losses and protect your financial future.
Why Is This Investigation Important?
Ryan J Hammett’s record is under renewed scrutiny following his separation from Charles Schwab & Co., Inc., where he was discharged on April 1, 2026. The reported reason for termination involved concerns about the use of a personal AI device and a third-party AI tool to conduct company business, actions explicitly prohibited by Schwab’s internal compliance policies.
This event has prompted substantial investor inquiries regarding compliance, supervision, and investor protections under securities laws. Our firm is actively reviewing accounts and communications involving Ryan Hammett to assess whether all client interests were safeguarded according to strict industry standards.
Background: Who Is Ryan J Hammett?
Table of Contents
- Formerly registered broker at Charles Schwab & Co., Inc.
- CRD#: 7660572
- Previous affiliations: Morgan Stanley, Fidelity Brokerage Services LLC
- Licenses: SIE, Series 7, 3, 9, 10, 63, 66
- FINRA BrokerCheck Report
Red Flag: Employment Separation at Charles Schwab & Co., Inc.
On April 1, 2026, Schwab discharged Ryan Hammett for improper use of personal AI devices and third-party AI tools for business activity. According to Hammett’s statement on BrokerCheck, no customer complaints, regulatory actions, or allegations of fraud, theft, or dishonesty were cited in connection with this separation. He maintains that the matter involved only internal technology-use policies, with no direct customer harm identified as of now.
Even so, discharge for policy violations can raise compliance and risk concerns, especially when FINRA Rule 2010 (standards of commercial honor) and FINRA Rule 3110 (supervision) may be implicated. Internal device violations may appear technical, but they can highlight the importance of strong compliance protocols designed to protect investors at every step.
What Are the Specific Complaints or Disclosures?
| Complaint Type | Status / Finding |
|---|---|
| Customer Disputes or Arbitrations | None reported |
| Regulatory Actions (FINRA, SEC, State) | None found |
| Employment Separation Disclosures | 1 — Discharged from Charles Schwab & Co., Inc. for use of prohibited AI/device in the workplace |
| Criminal/Civil Proceedings or SEC Enforcement | None identified |
| Negative Media or Public Alerts | No adverse coverage found as of last review |
Regulatory Context: FINRA, SEC, and Regulation Best Interest
Our attorneys carefully review every broker separation or misconduct disclosure through the lens of industry rules and investor protections:
- FINRA Rule 2010: Requires high standards of commercial honor and just and equitable principles of trade
- FINRA Rule 3110: Requires firms to establish and maintain a supervisory system over associated persons
- Regulation Best Interest (Reg BI): Requires brokers to act in the best interest of retail customers when making recommendations
Even isolated violations or terminations for internal policy breaches can point to broader risks, including inadequate supervision, compliance failures, or undisclosed conflicts of interest. That is why our investigation is comprehensive, evaluating not only the technical facts but also the client experience and supervisory structure involved.
Should Investors Be Concerned?
Although no customer complaints had been filed against Ryan Hammett as of our June 29, 2026 review, investors should still remain vigilant:
- Employment terminations for policy reasons can raise questions about regulatory compliance and supervisory effectiveness
- Failure to follow technology protocols can create data privacy and recordkeeping concerns for clients and firms alike
- Even without direct losses or regulatory actions, investor trust should be reinforced through proactive account review
Our Approach: Secure, Experienced, and Client-First
We bring the strength of a 98% success rate across hundreds of investor claims, recognition as a Top 2% peer-reviewed (Martindale-Hubbell AV Preeminent) and Super Lawyers-designated firm, and experience involving over $520 million in securities matters. Our attorneys advocate aggressively for every client, leveraging our background as former Wall Street defense lawyers to help investors pursue recovery and hold the industry accountable.
- 5.0-star client reviews reflect our commitment to investor recovery and rigorous representation
- All cases handled on a no recovery, no fee basis
- Nationwide representation in FINRA arbitration and brokerage claims
How Can You Protect Yourself?
- Review your account statements for unauthorized or unexpected activity
- Request copies of correspondence or recommendations made by Ryan Hammett or teams associated with Schwab, Morgan Stanley, or Fidelity
- Contact our attorneys for a free review if you observe losses, irregularities, or compliance concerns
- Set up alerts through FINRA BrokerCheck to monitor future disclosures
Ongoing Monitoring & Next Steps
To support investor protection, our firm will continue to:
- Monitor FINRA BrokerCheck and SEC EDGAR for updates
- Review new filings, employment changes, or media developments
- Consult with regulators and compliance professionals as appropriate
If you suspect losses or questionable advice involving Ryan J Hammett at Charles Schwab & Co., Inc., Morgan Stanley, or Fidelity, the time to act is now.
Protect your rights and explore your recovery options with guidance from industry-veteran attorneys. Call 1-888-885-7162 or use our secure contact form for a free, confidential consultation about your legal options. Our investigation is active, and your peace of mind remains our priority.
