Tag Archives: Thomas S. Martin

Edward Jones Stockbroker Sanctioned For Unauthorized Trading

February 06, 2020  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Thomas S. Martin of Sante Fe New Mexico a stockbroker formerly registered with Edward Jones has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Martin effected unauthorized trades in the accounts of Edward Jones customers. Letter of Acceptance Waiver […]

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Edward Jones Discharges Broker For Unauthorized Trading

September 27, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Thomas S. Martin of Santa Fe New Mexico a stockbroker formerly registered with Edward Jones has been discharged from the firm on July 28, 2017 based upon accusations that he exercised discretion in customer accounts in violation of Edward Jones’ policy. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Martin has been identified in […]

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