MARCO A. MARTIN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/10/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. MARCO A. MARTIN (CRD No. 3100944), RESPONDENT. DISCIPLINARY PROCEEDING No. 2008014982901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between April 2006 and July 2008, while working as a registered representative of Citigroup Global Markets Inc. or one of its predecessor entities ("CGMI" or the "Firm"), Respondent Marco A. Martin executed over 50 unauthorized trades in the account of
02/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Marco A Martin, CRD No. 3100944, Respondent. Disciplinary Proceeding No. 2008014982901 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 3, 2011 INTRODUCTION Disciplinary Proceeding No. 2008014982901 was filed on August 10, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Marco A. Martin submitted an Offer
Reference 2008014982901data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3100944 |
Other names1
Also known as1
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