A pending FINRA claim over stock, filed April 17, 2026, names Shawn Martin (CRD 4959418) and lists Citigroup as the firm. The claimant seeks $126,000. No arbitrator has ruled, and the allegations remain unproven.
According to BrokerCheck, the claimant alleges violations of Regulation BI, unsuitability, common law fraud and/or negligence, violation of FINRA's rules, and failure to supervise. The claim carries docket 26-00879. The disclosure lists the product as Equity / Stock.
Claims often stack several theories like this. Each one asks a different question, and an arbitrator can accept some and reject others. The pending claim naming Shawn Martin raises theories aimed at both the broker and the firm.
The SEC adopted Regulation BI to govern recommendations that brokers make to retail customers. A broker must act in the customer's best interest at the time of the recommendation. The broker also cannot put the firm's interests or the broker's own pay ahead of the customer.
The standard reaches ordinary stock recommendations, not only complex products. It also requires brokers to disclose conflicts. The claimant in the Shawn Martin matter cites it alongside the older suitability theory.
Brokerage firms must supervise their brokers through written procedures and trade reviews. A failure to supervise claim aims at the firm rather than the individual broker. It asks whether the firm's systems should have flagged the activity in an account.
When we review a claim like this, we ask early for the firm's exception reports and compliance notes. The claim naming Shawn Martin includes this theory on the firm side of the case.
Claims by investors against brokers and their firms are almost always decided in FINRA arbitration, since the customer agreement sends them there instead of to court. A case begins when the investor files a statement of claim with FINRA. The broker and the firm then file answers. Next, the parties pick a panel of one or three arbitrators from lists FINRA provides. During discovery the parties trade account records, emails and other documents. Many claims settle before a hearing is held. Those that do not are decided by the panel in a written award. FINRA publishes awards, but a settlement amount appears only on the broker's BrokerCheck report.
FINRA member firms must supervise the activities of their brokers. If you have questions about an account that Shawn Martin handled, call Soreide Law Group at (888) 760-6552. You can also reach us online to speak with a securities attorney. FINRA arbitration is a national forum, so we represent investors in FINRA arbitration across the country. We handle these claims on a contingency fee basis. Learn how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of November 7, 2026. Allegations in customer complaints and arbitrations are claims, not findings. Pending claims remain open and undecided. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
Curtis Kroll (CRD 6487481) appears in a pending FINRA arbitration that seeks more than $10,000,000, according to a disclosure filed July 8, 2026. The disclosure names Wells Fargo Advisors as the firm. No arbitrator has ruled, and the allegations remain unproven.
A pending FINRA claim over stock, filed April 17, 2026, names Shawn Martin (CRD 4959418) and lists Citigroup as the firm. The claimant seeks $126,000. No arbitrator has ruled, and the allegations remain unproven.
A Wells Fargo Advisors customer dispute filed June 8, 2026 names Cameron Edmiston (CRD 6388552) in a pending FINRA arbitration. The claimant seeks more than $10,000,000. The allegations remain unproven, and Edmiston disputes them.
Phone:
Fax: 1-954-760-6553
Email: [email protected]