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.
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.
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)
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