Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 30, 2016 indicate that New York-based Windsor Street Capital broker Martin Barth has been the subject of a customer dispute. The experienced attorneys at Fitapelli Kurta are interested in hearing from investors who have complaints regarding Mr. Barth (CRD# 1030462).
Martin Barth has spent eighteen years in the securities industry and has been registered with Windsor Street Capital in New York, New York since November 2016. Previous registrations include Trident Partners in Hauppage, New York; Meyers Associates in New York, New York; AXA Advisors in Cold Spring, New York; Capitol Securities Management in Florham Park, New Jersey; Wells Fargo Advisors in Newburgh, New York; and Merrill Lynch in New York, New York. He is a registered broker with six US states and territories: California, Connecticut, Maine, Massachusetts, New Jersey, and New York. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination).
According to his BrokerCheck report, Martin Barth has received one customer complaint.
In 2013 a customer alleged Martin Barth, while employed at Wells Fargo Advisors, recommended unsuitable mutual fund investments. The complaint settled in 2015 for $75,000.
A mutual fund is a variety of investment that combines a collection of stocks, bonds, or other securities. The collection is referred to as a portfolio. Each share of a portfolio represents the investor’s ownership of the fund’s holdings and the income generated by these holdings. Mutual funds typically generate money for investors either by way of dividends on stocks and interests on bonds, or a capital gain on the sale of securities. Mutual funds also allow you to receive a check for the distributions or simply reinvest the earning into more shares. They are often inexpensive and easy to purchase; they also generally allocate risk well, and bring the benefit of professional management. However, they may also come with hidden fees, and trigger a capital gains tax when a fund manager sells a security. Brokers and investment advisers who engage in misconduct related to mutual fund investments may be subject to disciplinary action from FINRA, the Securities and Exchange Commission, or state authorities.
If you or someone you know has a complaint regarding Martin Barth, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.