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2023079660501 Christopher D. Martin CRD 4179127 AWC lp (2025-1739492411813).pdf

From July 2017 to October 2022, while associated with Centaurus Financial, Martin participated in private securities transactions related to a private offering of common stock issued by a licensed cannabis-related company that he co-founded and for which he served as a board member and executive officer. Martin's private securities transactions involved the sale of $4,436,381 of company stock to 106 investors. By participating in private securities transactions without prior approval from his firm, Martin violated FINRA Rules 3280 and 2010.

Anonymous Comment On Regulatory Notice 24-13

I understand the intention of three day trades per week was to reduce the risk and losses incurred. Over the years, it seems to have actually exposed traders to more risk. Allowing no more than three round trip trades in five business days has created a burden on traders as well as brokerage firms. Traders who wish to trade in small amounts to build capital typically do not have access to the minimum deposit required to avoid being flagged as PDT, and in many cases will place more impulsive trades.

2023080678101 Christopher J. Christensen CRD 7680869 Complaint lp (2025-1739405999168).pdf

The Department of Enforcement alleges: 1. On two occasions, Respondent Christopher J. Christensen failed to provide documents and information FINRA requested pursuant to FINRA Rule 8210 as part of FINRA’s examination of Christensen’s outside business activities and private securities transactions. As a result, Christensen violated FINRA Rules 8210 and 2010. 2. Christensen also failed to appear for testimony FINRA requested on two occasions pursuant to FINRA Rule 8210 as part of FINRA’s examination. As a result, Christensen violated FINRA Rules 8210 and 2010.