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Sean Martin Suspended by FINRA For Allegedly Failing to Comply with an Arbitration Award

Sean Martin (CRD #: 2665127), a broker formerly registered with Raymond James & Associates, has been suspended by FINRA for allegedly failing to comply, according to his BrokerCheck Record accessed on November 29, 2021. Keep reading for more information.  

 FINRA Suspension 

According to a complaint raised by FINRA on November 18, 2021, Sean Martin allegedly failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of the arbitration’s compliance. Due to his actions, Sean Martin violated Article VI, Section 3 of FINRA By-Laws, and possibly FINRA Rule 9554, which requires brokers to comply with an arbitration award. He was suspended indefinitely from October 18, 2021. The suspension will continue until Sean Martin makes the required payment. 

You can access the full arbitration award here. 

Background Information 

Sean Martin has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination 
  • Series 63 – Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 – General Securities Representative Examination 

He has also worked with the following firms: 

  • Deutsche Bank Securities (CRD#:2525) 
  • DB Alex. Brown (CRD#:17790) 
  • First Maryland Brokerage Corporation (CRD#:17531) 
  • Worthington Capital Group (CRD#:28595) 
  • Biltmore Securities (CRD#:25023) 

Kurta Law Can Help  

If you have been victimized by Sean Martin, don’t hesitate to get in touch with us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.  

For nearly 20 years, Kurta Law has advocated for investors 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.  

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