CHRISTOPHER J. MARTINEZ

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/21/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER J. MARTINEZ (CRD No. 4072355) Respondent. Disciplinary Proceeding No. 2007010851901 Hearing Officer - MC DEFAULT DECISION July 21, 2009 The Respondent is barred from associating with any FINRA member firm in any capacity for (i) misusing customer funds, in violation of Conduct Rules 2110 and 2330(a), and (ii) failing to respond to requests for information made by FINRA staff, in
02/11/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARNIG OFFICERS Department of Enforcement, Complainant, v. Christopher J. Martinez (CRD No. 4072355), Respondent. DISCIPLINARY PROCEEDING No. 2007010851901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Christopher J. Martinez misused funds belonging to two customers, by withdrawing funds from their variable annuity accounts without their consent or authorization. Martinez did not give the customers the funds that he withdrew from
Reference 2007010851901data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4072355

Other names1

Also known as1

CHRISTOPHER JACOB MARTINEZ

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.