DAVID GEORGE MARTIN

DAVID GEORGE MARTIN is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 2130 THE ALAMEDA SUITE 210, SUITE 210, SAN JOSE, CA, 95126.

DAVID GEORGE MARTIN has worked at SECURITIES AMERICA, INC. since January 08, 2009

Disclosure History

DAVID GEORGE MARTIN has 10 Disclosure Event(s).

Date: February 07, 2017
Category: Judgment / Lien
Judgment/Lien Amount: $304,833.70
Judgment/Lien Type: Tax
Broker Comment: I recently received a notice of a refiling of a tax lien covering 2002, 2003 & 2004 by the IRS. My attorney who handles matters with the IRS told me that these were refiled because the IRS's automated system had released the liens in error. This happened because they had passed the 10 year statute of limitations. However, in my case they made a mistake in that my 50 month Chapter 11 bankruptcy (October 16, 2006 to December 22, 2010) and my 16 month Offer In Compromise (August 8, 2014- December 4, 2015) cancellation plus other statutory times should have been added to the statute and they should not have released them. Specifically, these three liens will now expire in 2019, 2020 and 2021. According to my attorney, the lien was issued by the Cincinnati office of the IRS which is an automated lien filing center. The original liens were disclosed to my Broker Dealer at the time, Sammons Securities, Inc. and were also a part of the Chapter 11 Bankruptcy filing on October 16, 2006 which was also disclosed to Sammons at the time. This filing was later converted to Chapter 7 and was discharged on December 22, 2010.

Date: June 25, 2013
Category: Judgment / Lien
Judgment/Lien Amount: $28,224.19
Judgment/Lien Type: Tax
Broker Comment: THE REPRESENTATIVE DID NOT RECEIVE NOTIFICATION OF THE LIEN UNTIL JULY 2, 2013.

Date: December 19, 2011
Category: Judgment / Lien
Judgment/Lien Amount: $3,938.28
Judgment/Lien Type: Tax
Broker Comment: BASED OF THE ADVICE OF MY ATTORNEY, WHO IS WORKING TOWARD AN AGREEMENT WITH THE FRANCHISE TAX BOARD, I HAVE NOT YET PAID THIS TAX LIABILITY.

Date: September 16, 2011
Category: Judgment / Lien
Judgment/Lien Amount: $206,165.94
Judgment/Lien Type: Tax
Broker Comment: I AM WORKING WITH AN ATTORNEY AND THE IRS TO RESOLVE THESE MATTERS.

Date: September 16, 2011
Category: Judgment / Lien
Judgment/Lien Amount: $9,453.88
Judgment/Lien Type: Tax
Broker Comment: I AM WORKING WITH AN ATTORNEY AND THE IRS TO RESOLVE THESE MATTERS.

Date: July 01, 2011
Category: Judgment / Lien
Judgment/Lien Amount: $149,151.00
Judgment/Lien Type: Tax

Date: July 01, 2011
Category: Judgment / Lien
Judgment/Lien Amount: $4,685.00
Judgment/Lien Type: Tax

Date: January 03, 2006
Category: Judgment / Lien
Judgment/Lien Amount: $95,877.00
Judgment/Lien Type: Tax

Date: April 12, 2005
Category: Judgment / Lien
Judgment/Lien Amount: $47,791.00
Judgment/Lien Type: Tax

Date: November 01, 2004
Category: Judgment / Lien
Judgment/Lien Amount: $189,000.00
Judgment/Lien Type: Tax
Broker Comment: HAD AN OUTSIDE BUSINESS WHICH DUE TO THE DOWN TURN IN THE MARKET CAUSED THE BUSINESS TO LOOSE MONEY.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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