One or more investors possibly experienced losses because of securities broker Javier Martin-Riva [CRD: 6706706, Miami, Florida], according to disclosures on FINRA BrokerCheck. Particularly, Javier Martin-Riva joined Bulltick LLC on March 18, 2019, and Bulltick Wealth Management LLC on May 6, 2019. Read the following sections to learn more about the allegations involving this broker and the products at issue.
Notably, on March 20, 2025, a Bulltick LLC client filed Civil Action No. 2025-005003-CA-01 about Javier Martin-Riva. Specifically, the client alleged that Martin-Riva misappropriated funds and made misrepresentations. Because of this, the client allegedly sustained damages connected to private special purpose vehicles. So, the client requested $20,000,000.00 in compensation from Bulltick LLC or Martin-Riva. Evidently, this civil suit is pending a resolution.
Misappropriation by a securities broker occurs when the broker wrongfully uses or takes client funds or securities for unauthorized purposes. This can include diverting investment funds for personal gain or allocating them in ways not approved by the client. Such actions can lead to substantial financial harm for investors and may violate both regulatory and legal standards.
Do you have questions or concerns about investments you made through Javier Martin-Riva? If so, touch base with Soreide Law Group online or at (888) 760-6552 and talk to a securities lawyer. Soreide Law Group helps recover losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances the costs. Martin-Riva and brokerage firms Martin-Riva worked for deny allegations of sales practice violations.
Soreide Law Group is investigating potential investor claims involving World Investments LLC after FINRA sanctioned the firm for supervisory failures involving deferred variable annuity exchanges and registered index-linked annuities (RILAs). Investors who suffered losses in variable annuities, RILAs, or other investments recommended through World Investments may have legal options and should learn more about FINRA's […]
Investors potentially experienced sales practice violations by securities broker Gary Bryan Frisch [CRD: 5037164, Surprise, Arizona], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frisch worked for Avantax Investment Services Inc. and Avantax Advisory Services from October 25, 2019, through September 5, 2025, and has been registered with Cetera Wealth Services […]
Investors potentially incurred losses because of securities broker Christopher Frederick Chlupp [CRD: 2950578, Wisconsin Dells, Wisconsin], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chlupp has worked for Robert W. Baird Co. Incorporated as a securities broker since June 25, 1998, and as a financial advisor since September 24, 1998. Keep reading to […]
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