brokerwatch

Financial advisors (brokers) have a legal obligation and regulatory obligation to recommend only suitable investments that are appropriate for their individual clients. Their broker-dealer (employing brokerage firm) has a legal obligation and regulatory obligation to supervise the financial advisor’s sales practices and dealings with clients. To the extent that any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

Prior to Sagepoint Financial, Inc., Aaron Martinez had been a registered broker with SunAmerica Securities, Inc., National Planning Corporation, the Variable Annuity Marketing Company, Sentra Securities Corporation, WM Financial Services, Inc., Great Western Financial Securities Corporation, Smith Culver, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporation, Bear, Sterns & Co, Inc., and Annandale Securities, Inc. FINRA maintains a database of investor complaints and disciplinary and employment history for registered representatives and publishes some of this information on its BrokerCheck website, www.brokercheck.finra.org.

If you believe you were a victim of investment fraud or broker misconduct, it is imperative to take action. Peiffer Wolf has represented thousands of victims, and we remain committed to fighting on behalf of investors.

Peiffer Wolf is currently investigating Aaron Martinez’s practices, as well as the products he recommended to individual investors. Concerns about possible broker misconduct and investment fraud are serious, and we are committed to fighting on behalf of investors. Contact Us Today for a FREE Consultation.  585-310-5140