Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Martin (Martin), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on February 10, 2021.
At the time of the sale the rep did not disclose the 1% penalty for withdrawals during the first 18 months.