David Martin Allegedly Omitted Information About Investment Objectives

David Martin (CRD #: 6251448), a broker registered with Pruco Securities, allegedly failed to fully inform a client, according to his BrokerCheck record, accessed on August 28, 2022. Investors may have also worked with him through Prudential Financial Planning Services. Read on if you have questions about his conduct as a broker.

Investor Dispute

On June 27, 2022, an investor alleged that David Martin failed to fully disclose all the facts concerning an investment’s objectives. This dispute was denied by the firm.

Investors should know, however, that firms don’t need to allow an external review before denying a dispute, and investors can still pursue FINRA arbitration following a denial.

FINRA Rule 2020

FINRA Rule 2020 bans the use of deception, manipulation, and other fraudulent methods of influencing investors’ decisions. Misrepresenting or omitting material facts, such as an investment’s limitations or requirements, violates this rule.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of professional honor and just and equitable principles of trade.

Background Information

David Martin has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• Series 7TO – General Securities Representative Examination
• SIE – Securities Industry Essentials Examination
• Series 6 – Investment Company Products/Variable Contracts Representative Examination

David Martin is a registered broker in 10 states and a registered investment adviser in New York.

Kurta Law Can Help

If you worked with David Martin and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.