Martin Thomas Jones of New York New York a stockbroker formerly employed by Goldman Sachs Co. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Jones failed to provide information to FINRA personnel that was requested of him. Case No. 2015048052901 (Apr. 10, 2017). […]
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FINRA Bars Goldman Sachs Broker For Failure To Respond
December 13, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments