Unauthorized Trading

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 two customer initiated investment related disputes containing allegations of Martin’s violative conduct during the time that he was associated with Edward Jones. In particular, on October 10, 2017, a customer initiated investment related complaint involving Martin’s conduct was resolved for $8,252.75 in damages supported by accusations that between February 2017 and July 2017, Martin traded in the customer’s account without gaining the customer’s permission.

Additionally, on October 10, 2011, a customer initiated investment related complaint regarding Martin’s activities was settled for $7,469.00.00 in damages founded on allegations that the customer was placed in mutual fund investments which failed to conform to the customer’s tolerance for risk and objectives for investing.

Martin has been employed by EK Riley Investments LLC since September 5, 2017.

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