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.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer

Guiliano Law Group

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com