Martin was barred after failing to respond to two requests for information and documents by FINRA.
The Sonn Law Group is investigating allegations that Ashley Martin altered customer forms. If you or a family member has suffered losses investing, we want to discuss your case. Please contact us today for a free review of your case.
Ashley Martin (CRD#: 4628096) was barred by FINRA for failing to provide documentation and information requested in connection with their investigation into allegations that Martin altered customer forms after they were signed by customers of Morgan Stanley.
FINRA initiated its investigation after Martin was discharged from Morgan Stanley in September 2019 based on allegations that she altered customer forms after they were signed by the clients.
According to FINRA’s findings, Martin was sent a request for information in October 2019 and January 2020. She failed to respond to both of them. By refusing to provide the requested information, Martin violated FINRA Rules 8210 and 2010.
Martin consented to a bar from association with any FINRA regulated broker-dealer in any capacity for an indefinite period.
Contact Us Today
The Sonn Law Group is currently investigating allegations that Ashley Martin altered customer forms. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.