The Financial Industry Regulatory Authority (FINRA) gave Richard Martin a Wells Notice on March 25, 2015, indicating that he will be subject to a FINRA investigation regarding the sale of leveraged Exchange Traded Funds (ETFs). Martin resigned from GF Investment Services on July 7, 2015. Mr. Martin allegedly made unsuitable trades in exchange traded funds in 2015, sold unsuitable investments in ETFs in 2014, and made unsuitable short sales that were unsuitable for the customer’s risk tolerance in 2012.
Richard Martin was registered with Smith, Barney, Harris Upham & Co, Refco Securities, Morgan Stanley, Global Strategic Investments, Latam Investments, and G.F. Investment Services in Penang, Malaysia. He is not currently registered with any member firm. He has 11 customer disputes against him, two of which are currently pending. If you lost money with Richard Martin of GF Investment Services, GF can be sued in the FINRA arbitration forum to recover your financial losses. Please call us at 312-332-4200 for a free consultation with an attorney.
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