Maisha A Mertune (CRD #6703242) Has 5 Judgment/Lien Disclosures on FINRA BrokerCheck

Maisha A Mertune (CRD #6703242) is a broker with five judgment/lien disclosures on FINRA BrokerCheck. We reviewed her BrokerCheck report on April 11, 2026. It reflects five judgment/lien disclosures. If you invested with Maisha A Mertune and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Judgment / Lien

Maisha Mertune’s FINRA BrokerCheck report reflects five judgment/lien disclosures. Two examples are below.

On February 3, 2026, Maisha Mertune’s FINRA BrokerCheck report disclosed a civil judgment/lien for $13,825.36. BrokerCheck lists Capital One, NA as the holder. It states the matter was filed in Volusia County Court in Florida under docket number 202516774CODL. The report states the judgment/lien remains outstanding.

On December 30, 2025, Maisha Mertune’s FINRA BrokerCheck report disclosed another civil judgment/lien for $11,184.50. BrokerCheck lists Bank of America, NA as the holder. It states the matter was filed in Volusia County Court in Florida under docket number 202522023CODL. Three additional judgment/lien disclosures remain reported on BrokerCheck.

Rule Summary #1: FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration)

FINRA Rule 1122 bars incomplete or misleading membership or registration filings with FINRA. Accurate Form U4 disclosures matter because BrokerCheck depends on those filings to show investors current background information.

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires high standards of commercial honor and just and equitable principles of trade. In disclosure matters, FINRA often pairs this rule with reporting obligations when conduct raises concerns about accuracy or candor.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on Her FINRA BrokerCheck report, Maisha Mertune:

Is currently registered with NYLIFE Securities LLC.

Has passed the Securities Industry Essentials (SIE) exam. Maisha Mertune has also passed Series 6 and Series 63.

Has no prior securities firm registrations reported on BrokerCheck.

Kurta Law Can Help

If you have worked with Maisha Mertune and have concerns about her activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | Securities Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.