DARWIN R MARTINEZ

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/10/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. DARWIN R. MARTINEZ (CRD No. 1493059), Respondent. Disciplinary Proceeding No. C10050004 Hearing Officer - DMF ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 10, 2005 INTRODUCTION Disciplinary Proceeding No. C10050004 was filed on February 22, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Darwin R. Martinez ("Respondent") submitted an Offer of Settlement ("Offer") to Complainant on May 2, 2005.
02/22/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DARWIN R. MARTINEZ (CRD No. 1493059), Respondent. Disciplinary Proceeding No. C10050004 Hearing Officer- COMPLAINT Upon information and belief, the Department of Enforcement alleges the following: JURISDICTION 1. Respondent Darwin R. Martinez ("Respondent") first became registered with NASD as a General Securities Representative ("GSR") on or about March 7, 1988 through an association with a member firm.
Reference C10050004data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1493059

Other names1

Also known as1

DARWIN R. MARTINEZ

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