Last Updated: February 2024 (Miami, FL)
Javier Martin-Riva Investigation Summary
Here’s what you need to know about Miami, FL, stockbroker Javier Martin-RIva:
- Name: Mr. Javier Martin-Riva
- Current Employer: Bulltick LLC, Bulltick Wealth Management (RIA)
- Previous Firms: Oppenheimer & Co.
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: None
- Primary Location: Miami, FL
- CRD 6706706
- Can Javier Martin-RIva be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discloses Personal Bankruptcy Filing: Yes
- Pending Customer Dispute Seeks Damages of $20 Million
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Javier Martin-Riva As Your Stockbroker?
In 1/2024 a customer of Bulltick LLC filed a complaint in New York County, NY State Court, alleging that Javier Martin-Riva made misrepresentations in connection with the recommendation to invest in a private special purpose vehicle that invested in convertible notes issued by Theia International Group, a technology company. According to FINRA records, the customers invested $20 million in January of 2021 and they allege that Martin-Riva, along with others misappropriated funds.
According to his website, Javier Martin-Riva is head of alternative investments at Bulltick LLC.
Bulltick LLC touts the company as one having:
“Local knowledge with an international platform.
We are one of the very few independent firms that, since inception and by design, has been focused on serving clients from the following countries: Argentina, Bahamas, Brazil, Chile, Colombia, Costa Rica, Ecuador, Guatemala, Mexico, Panama, Peru, Portugal, Spain, United States of America and Uruguay.”
According to their FINRA record, Bulltick LLC is based in Miami, FL, and has 11 prior regulatory events. Chief executive officer is Humberto Banuelos Caamano .
Allegations of Broker Misconduct Against Javier Martin-Riva
A customer of Javier Martin-Riva has alleged the following wrongdoing in connection with the handling of customer accounts:
- Misrepresentation
- Misappropriation
Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
If you have suffered investment losses in an account handled by Javier Martin-Riva, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
