Tag Archives: Martin David Batstone

IFG Stockbroker Barred For Conversion

Martin David Batstone (also known as Marty David Batstone) of San Diego California a stockbroker formerly registered with Independent Financial Group LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon a FINRA Office of Hearing Officers Order Accepting Offer of Settlement containing findings that Batstone […]

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IFG Stockbroker Charged By FINRA With Conversion

Martin David Batstone (also known as Marty Batstone) of San Diego California a stockbroker formerly registered with Independent Financial Group has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Batstone converted a customer’s funds and engaged in securities transactions away from the securities broker dealer. Department of […]

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Independent Financial Stockbroker Investigated By FINRA

Martin David Batstone (also known as Marty David Batstone) of San Diego California a stockbroker formerly employed by Independent Financial Group is the subject of a Financial Industry Regulatory Authority (FINRA) Investigation in which the regulator determined that disciplinary action should be taken by FINRA Department of Enforcement against the stockbroker founded on allegations of […]

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Independent Financial Group Sued By Customers

June 19, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Martin David Batstone, of San Diego, California, a stockbroker formerly registered with Independent Financial Group, LLC, has been named in a customer initiated investment related civil action, which settled on January 25, 2017, for $55,000.00 in damages based upon allegations that he failed to appropriately confirm the designation of beneficiaries on the customer’s investment accounts […]

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