BART AARON MARTINEZ is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 12531 HIGH BLUFF DR STE 400, SAN DIEGO, CA, 92130.
BART AARON MARTINEZ has worked at WELLS FARGO CLEARING SERVICES, LLC since January 01, 2008
BART AARON MARTINEZ has 2 Disclosure Event(s).
Date: April 13, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES FAILURE TO FOLLOW INSTRUCTIONS. (09/08/2008)**ARIBTRATION ALLEGATIONS: CLAIMANT, A RESIDENT OF CALIFORNIA, ALLEGES BREACH OF FIDUCIARY DUTY IN THAT FA FAILED TO EXECUTE A SPECIFIC DIRECTIVE TO LIQUIDATE CLAIMANT'S ACCOUNTS IN 2008. CLAIMANTS SEEK DAMAGES OF $66,945 PLUS INTEREST FEES AND COSTS. Damage Amount Requested: $66,945.00 Damages Granted: $41,916.48 Broker Comment: I CATEGORICALLY DENY ALL ALLEGATIONS. CLIENT CONTINUED TO PLACE TRANSACTIONS WELL AFTER THE TIME IN QUESTION OF WHEN HE ALLEGES I DID NOT FOLLOW INSTRUCTIONS.***THIS MATTER WAS HEARD BEFORE A FINRA ARBITRATION PANEL ON JANUARY 12-13, 2011. CLAIMANT WAS AWARDED $41,916.48.
Date: April 01, 2005 Category: Customer Dispute Allegations: ALLEGED BREACH OF FIDUCIARY DUTY, NEGLIGENCE, AND CONSTRUCTIVE FRAUD.DATES OF ACTIVITY WERE NOT SPECIFIED IN COMPLAINT, BUT COMMENCED IN 2000 WHEN THE ACCOUNT OPENED. Damage Amount Requested: $180,000.00 Settlement Amount: $30,000.00 Broker Comment: A.G. EDWARDS PAID THE SUM OF $30,000 TO SETTLE THIS MATTER. AS A CONDITION OF SETTLEMENT CLAIMANTS AGREED THAT ALL CLAIMS AGAINST ME BE DISMISSED WITH PREJUDICE. FURTHER, THE CLAIMANTS REQUESTED THAT THE PANEL HEAR MY REQUEST FOR EXPUNGEMENT AND AGREED TO COOPERATE FULLY IN ANY EFFORT TO EXPUNGE THIS MATTER FROM MY RECORD.
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