Martin A. Barth

FINRA has permanently barred former broker Martin A. Barth (CRD #1030462) after he refused to provide testimony in an investigation into potential misconduct. Barth, who was registered with The O.N. Equity Sales Company from 1998 until his termination in May 2023, was under investigation for possible violations of FINRA rules. In February 2024, FINRA requested that Barth provide on-the-record testimony as part of its inquiry. However, he declined to appear, violating FINRA Rule 8210, which requires brokers to cooperate with regulatory investigations. This refusal also constituted a violation of FINRA Rule 2010, which mandates high ethical standards in the securities industry. As a result, Barth has been barred from associating with any FINRA member in any capacity, effectively ending his career in the securities industry.

Although Barth is no longer a registered broker, FINRA retains jurisdiction over former brokers for misconduct that occurred while they were licensed. While this disciplinary action removes him from the industry, it does not compensate investors who may have suffered financial losses due to his actions. If you invested with Martin A. Barth and believe you were financially harmed, you may have legal options to recover your losses. Contact ChapmanAlbin today for a free consultation.