2017055249101 Thomas S. Martin CRD 4500330 AWC va (2020-1583021966926).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055249101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas S. Martin, Respondent General Securities Representative CRD No. 4500330 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Thomas S. Martin ("Martin") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.