RICHARD WILLIAM LUNN MARTIN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/24/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RICHARD WILLIAM LUNN MARTIN, (CRD No. 723309), Respondent. Disciplinary Proceeding No. 2013035817701 Hearing Officer DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 24, 2017 INTRODUCTION Disciplinary Proceeding No. 2013035817701 was filed on June 27, 2016, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Richard William Lunn Martin
06/27/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Richard William Lunn Martin (CRD No. 723309), Respondent. DISCIPLINARY PROCEEDING No. 2013035817701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Richard William Lunn Martin (''Martin" or "Respondent") violated NASD Rule 2310 and FINRA Rules 2111 and 2010 by not having a reasonable basis to recommend, for long-term holding, non-traditional exchange traded funds
Reference 2013035817701data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	723309

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