MARTIN D. BATSTONE

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/02/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070079810 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Martin D. Batstone, Respondent General Securities Representative CRD No. 2171601 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2007007981001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/18/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Martin David Batstone CRD No. 2171601 Respondent. Disciplinary Proceeding No. 2019061205201 Hearing Officer-RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 18, 2020 INTRODUCTION Disciplinary Proceeding No. 2019061205201 was filed on October 1, 2019, by the
10/01/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Martin David Batstone CRD No. 2171601, Respondent. Disciplinary Proceeding No. 2019061205201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between November 2015 and August 2016, while associated with Independent Financial Group, LLC
Reference 2019061205201data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2171601

Other names1

Also known as1

Martin David Batstone

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