Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has opened an independent investigation into Shawn Marcel Martin (CRD #4959418) of Citigroup Global Markets Inc. If you invested with this advisor or have concerns about your investment losses, our attorneys encourage you to review the following research report and contact us for a free, confidential consultation at 1-888-885-7162.
Background: Who Is Shawn Marcel Martin?
- Name: Shawn Marcel Martin
- CRD Number: 4959418
- Current Brokerage Firm: Citigroup Global Markets Inc. (since March 2022)
- Previous Firms:
- UBS Financial Services, Inc. (2018–2022)
- Raymond James & Associates, Inc. (2015–2018)
- Licenses/Exams: Series 7, Series 63, Series 6, Series 66, Securities Industry Essentials (SIE)
We utilize our 95+ years of combined securities law experience and “insider knowledge”—honed from defending Wall Street institutions—to examine every red flag for our clients. Our seasoned team fights for investor recovery with a 98% success rate across hundreds of investor claims and has handled more than $520 million in securities matters.
Has Shawn Marcel Martin Faced Investor Complaints and Regulatory Allegations?
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Our analysis of BrokerCheck (reviewed June 21, 2026) reveals that Shawn Martin has one pending customer dispute. The dispute raises significant regulatory and investor-protection concerns. Review the summary and details below to help understand your rights and options if you suffered investment losses related to actions by this broker.
Summary Table: Disclosures for Shawn Marcel Martin (CRD #4959418) – Citigroup Global Markets Inc.
| Disclosure Type | Status | Date Reported | Allegations / Details | Claimed Damages | Regulatory Reference |
|---|---|---|---|---|---|
| Customer Dispute | Pending | April 21, 2026 |
|
$126,000 | FINRA Arbitration 26-00879 |
Important Note: The investor complaint alleging Regulation Best Interest violations and unsuitable recommendations remains unresolved as of this report. We are closely monitoring this matter to protect investor interests.
What Is Regulation Best Interest, and Why Does It Matter?
- Regulation Best Interest (Reg BI) is a federal standard requiring broker-dealers and financial advisors to act in your best interest at the time of making a recommendation.
- Unlike the older “suitability” standard, Reg BI imposes a higher duty and focuses on disclosure, care, conflicts, and compliance.
- Brokers must consider your risk tolerance, financial goals, investment horizon, and liquidity needs rather than their own compensation or firm interests.
- Violations of Regulation Best Interest may result in substantial investor losses and regulatory actions against the advisor or firm.
FINRA Rules That Often Underpin Investor Claims
- FINRA Rule 2111 (Suitability):
- Requires all investment recommendations to be suitable based on your unique financial profile.
- Unsuitable recommendations may form the basis of a claim for investment loss recovery.
- FINRA Rule 3110 (Supervision):
- Requires brokerage firms to properly supervise brokers and have robust procedures to prevent rule violations.
- Failure to supervise can expose both firms and advisors to liability if damages occur.
Specific Allegations Against Shawn Marcel Martin
- Violation of Reg BI: The complaint accuses Shawn Martin of making investment recommendations that did not prioritize the customer’s best interest.
- Unsuitable Recommendations: Allegedly recommended equity-listed products (common and preferred stock) not aligned with the client’s profile.
- Common Law Fraud & Negligence: Charges include potential misrepresentation, omission, or reckless advice when handling investments.
- Failure to Supervise: The claims question whether oversight by Citigroup Global Markets Inc. met FINRA’s supervision requirements.
- Loss Recovery: The pending arbitration seeks $126,000 in damages for the client’s reported investment losses.
Our attorneys are experienced in pursuing recovery for clients affected by similar violations and can help you understand how these allegations may impact your legal options.
Current Regulatory Record: What Do Public Records Show?
- Beyond the single pending customer dispute, public records show no disciplinary actions, civil litigation, bankruptcy filings, or SEC orders against Shawn Martin as of the date of our review.
- Employment background includes roles at Citigroup Global Markets Inc., UBS Financial Services, and Raymond James & Associates.
Could You Recover Investment Losses?
- Many investors are unaware that losses from unsuitable recommendations may be recoverable through arbitration or mediation.
- Our team has recovered funds for clients in hundreds of investor claims.
- We offer “no recovery, no fee” representation.
If you invested with Shawn Marcel Martin in New York, NY, or elsewhere and suspect your investments were recommended in violation of industry standards—especially if you suffered financial losses—we urge you to speak with our team. Our Super Lawyers-designated attorneys hold a Martindale-Hubbell AV Preeminent (Top 2%) peer rating and maintain 5-star client reviews—a testament to our focus on client satisfaction and investor rights.
What to Do Next: Get a Free, Confidential Consultation
- If you have concerns about investments with Shawn Marcel Martin (CRD #4959418) of Citigroup Global Markets Inc., act quickly to protect your ability to recover losses.
- Call us at 1-888-885-7162 for a no-cost, no-obligation assessment of your case.
- Our attorneys will review your situation, determine whether misconduct occurred, and guide you through the recovery process if warranted.
Remember, every claim has deadlines. Prompt action may increase your chance to recover funds and hold responsible parties accountable.
For real-time updates on this investigation, or to independently verify broker information, use the BrokerCheck tool and enter “Shawn Marcel Martin” or CRD 4959418. If you see new disclosures or have questions, contact us immediately—our former Wall Street attorneys are ready to fight for your recovery.
