On March 14, 2025, the Financial Industry Regulatory Authority (FINRA) barred MARTIN BARWIKOWSKI from acting as a broker or otherwise associating with a broker/dealer firm. MARTIN BARWIKOWSKI was listed with STIRLINGSHIRE INVESTMENTS of New York, New York from 12/06/2022 - 06/14/2024.
According to the FINRA report, without admitting or denying FINRA’s findings, MARTIN BARWIKOWSKI consented to the sanction and to the entry of findings that he allegedly refused to produce information and documents requested by FINRA. FINRA’s findings stated that FINRA sought information and documents in connection with an investigation into alleged potential sales practice violations by Barwikowski.
According to the National Law Review, FINRA Rule 8210 allows FINRA to request documents, information, and testimony from member firms and their associated persons in connection with an examination or investigation. The broker or firm, when receiving an “8210 letter,” must respond appropriately or face suspension and/or other penalties.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, MARTIN BARWIKOWSKI had been in the securities industry for 9 years and had been listed with 6 firms. Barwikowski has 4 disclosures on his FINRA CRD report. There is an “Employment Separation after Allegations,” dated June 14, 2024, discharging him from STIRLINGSHIRE INVESTMENTS. According to the FINRA report the allegations were in part that the firm allegedly became aware that the Representative was dealing with issues that were affecting his work and as such he had his trading capability removed, and the management made the decision to terminate the relationship.
Before STIRLINGSHIRE INVESTMENTS, MARTIN BARWIKOWSKI was listed with SPARTAN CAPITAL SECURITIES LLC of New York, New York, from 01/17/2017 - 12/22/2022.
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