Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Martin (Martin), previously associated with Berthel, Fisher & Company Financial Services, Inc., has at least one disclosable event. These events include one tax lien, alleging that Martin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on September 20, 2024.
Without admitting or denying the findings, Martin consented to the sanctions and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with its investigation into the circumstances surrounding a Form U5 filed by his member firm. The findings stated that the firm submitted the Form U5 stating that it had discharged Martin because he borrowed money from a client.
