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Christopher D. Martin

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/14/2025: From July 2017 to October 2022, while associated with Centaurus Financial, Martin participated in private securities transactions related to a private offering of common stock issued by a licensed cannabis-related company that he co-founded and for which he served as a board member and executive officer. Martin's private securities transactions involved the sale of $4,436,381 of company stock to 106 investors. By participating in private securities transactions without prior approval from his firm, Martin violated FINRA Rules 3280 and 2010.

    Reference 2023079660501data-portal.finra.orgfinra.org

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