Richard William Lunn Martin of Penang a stockbroker formerly employed by G.F. Investment Services LLC is the subject of a customer initiated investment related arbitration claim which settled for $117,000.00 in damages founded on accusations that (1) fiduciary duties owed to the customer had been breached (2) due diligence was not properly executed on investments…
Richard William Lunn Martin of Miami, Florida, a stockbroker formerly registered with G.F. Investment Services, LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon an Order Accepting Offer of Settlement issued by FINRA Office of Hearing Officers, which contained findings that Martin, inter alia, made unsuitable…
Richard William Lunn Martin, of Penang, Malaysia, was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Martin made unsuitable recommendations to customers, and false and misleading statements to customers regarding investments. Department of Enforcement v. Richard William Lunn Martin, No. 2013035817701 (June 27, 2016). According to the Complaint, from…