Gherardi refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210. As a result, Gherardi violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

Martinsen refused to provide documents and information requested pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.