THE GUNNALLEN ROUGES GALLERY CONTINUES
NASD Registered Person: BRIAN KEITH MARTINSEN
CRD Number: 2815688
Current Employments: 1
Registrations: 13
Previous Employments: 17
************************************************************
Disclosure Events: Yes
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**************** CURRENT EMPLOYMENT (1 of 1) ****************
Employing Firm: BROOKSTREET SECURITIES CORPORATION
Firm CRD Number: 14667
Office of Employment address: 300 WHEELER ROAD
HAUPPAUGE, NY 11788
US
Start Date: 09/19/2002 End Date: to present
PREVIOUS EMPLOYMENT
This information is current as of: 07/08/2003
________________________________________________________________________________
NASD Registered Person: BRIAN KEITH MARTINSEN
CRD Number: 2815688
PREVIOUS EMPLOYMENT(cont.)
************** PREVIOUS EMPLOYMENT (1 of 17) **************
Employing Firm: GUNNALLEN FINANCIAL, INC.
Firm CRD Number:
Office of Employment address: TAMPA, FL
Start Date: 04/2002 End Date: 09/2002
************** PREVIOUS EMPLOYMENT (2 of 17) **************
Employing Firm: FIRST MONTAUK SECURITIES CORP.
Firm CRD Number:
Office of Employment address: RED BANK, NJ
Start Date: 05/2001 End Date: 04/2002
************** PREVIOUS EMPLOYMENT (3 of 17) **************
Employing Firm: JP TURNER & COMPANY LLC
Firm CRD Number:
Office of Employment address: LAKE RONKONKOMA, NY
Start Date: 06/2000 End Date: 05/2001
************** PREVIOUS EMPLOYMENT (4 of 17) **************
Employing Firm: GLENN MICHAEL FINANCIAL, INC.
Firm CRD Number:
Office of Employment address: MELVILLE, NY
Start Date: 06/1998 End Date: 06/2000
************** PREVIOUS EMPLOYMENT (5 of 17) **************
Employing Firm: FIRST PROVIDENCE FINANCIAL GROUP, INC.
Firm CRD Number:
Office of Employment address: NEW YORK, NY
Start Date: 11/1997 End Date: 06/1998
************** PREVIOUS EMPLOYMENT (6 of 17) **************
Employing Firm: CONTINENTAL BROKER-DEALER CORP.
Firm CRD Number:
Office of Employment address: CARLE PLACE, NY
Start Date: 06/1997 End Date: 11/1997
************** PREVIOUS EMPLOYMENT (7 of 17) **************
Employing Firm: WALSH MANNING SECURITIES, LLC
Firm CRD Number:
Office of Employment address: NEW YORK, NY
Start Date: 08/1996 End Date: 05/1997
************** PREVIOUS EMPLOYMENT (8 of 17) **************
Employing Firm: WALSH MANNING
Firm CRD Number:
Office of Employment address: NY, NY
Start Date: 08/1996 End Date: 05/1997
************** PREVIOUS EMPLOYMENT (9 of 17) **************
Employing Firm: BUTLER FLEET SERVICE
Firm CRD Number:
Office of Employment address: KINGS PARK, NY
Start Date: 01/1996 End Date: 08/1996
NASD Public Disclosure Program July 08, 2003 Page 4
This information is current as of: 07/08/2003
________________________________________________________________________________
NASD Registered Person: BRIAN KEITH MARTINSEN
CRD Number: 2815688
PREVIOUS EMPLOYMENT(cont.)
************** PREVIOUS EMPLOYMENT (10 of 17) **************
Employing Firm: PIZZA HUT
Firm CRD Number:
Office of Employment address: HOUSTON, TX
Start Date: 09/1995 End Date: 11/1995
************** PREVIOUS EMPLOYMENT (11 of 17) **************
Employing Firm: WALMART
Firm CRD Number:
Office of Employment address: HOUSTON, TX
Start Date: 06/1995 End Date: 09/1995
************** PREVIOUS EMPLOYMENT (12 of 17) **************
Employing Firm: FIRE STONE
Firm CRD Number:
Office of Employment address: HOUSTON, TX
Start Date: 05/1995 End Date: 06/1995
************** PREVIOUS EMPLOYMENT (13 of 17) **************
Employing Firm: UNIVERSAL TECH INST
Firm CRD Number:
Office of Employment address: HOUSTON, TX
Start Date: 04/1995 End Date: 01/1996
************** PREVIOUS EMPLOYMENT (14 of 17) **************
Employing Firm: UNIVERSEAL TECH INST
Firm CRD Number:
Office of Employment address: HOUSTON, TX
Start Date: 09/1994 End Date: 03/1995
************** PREVIOUS EMPLOYMENT (15 of 17) **************
Employing Firm: K-MART
Firm CRD Number:
Office of Employment address: NOT GIVEN, IL
Start Date: 09/1994 End Date: 03/1995
************** PREVIOUS EMPLOYMENT (16 of 17) **************
Employing Firm: UNEMPLOYED
Firm CRD Number:
Office of Employment address: NOT GIVEN, NY
Start Date: 06/1994 End Date: 08/1994
************** PREVIOUS EMPLOYMENT (17 of 17) **************
Employing Firm: KINGS PARK HIGH SCHOOL
Firm CRD Number:
Office of Employment address: KINGS PARK, NY
Start Date: 09/1989 End Date: 06/1994
NASD Public Disclosure Program July 08, 2003 Page 5
This information is current as of: 07/08/2003
________________________________________________________________________________
NASD Registered Person: BRIAN KEITH MARTINSEN
CRD Number: 2815688
********************************************************************************
CUSTOMER COMPLAINTS
********************************************************************************
This information is current as of: 07/08/2003
________________________________________________________________________________
NASD Registered Person: BRIAN KEITH MARTINSEN
CRD Number: 2815688
CUSTOMER COMPLAINTS(cont.)
* Disposition Date: The disposition date of the arbitration, reparation
or litigation.
* Summary: Details related to the circumstances of the
complaint.
********************************************************************************
******** CUSTOMER COMPLAINT (1 of 3) ********
Reporting Source: Firm (Form U-5)
Date Reported: 01/21/2003
Date Received: 12/30/2002
Employing Firm: GUNNALLEN FINANCIAL
Allegations: UNAUTHORIZED TRADES-EXCESSIVE COMMSSIONS
Alleged Damages: $17,000.00
Action Pending?: Yes
Disposition
Details:
***********************************
Reporting Source: Broker (Form U-4)
Date Reported: 05/20/2003
Date Received: 12/20/2002
Employing Firm: GUNNALLEN FINANCIAL
Allegations: ALLEGATIONS WERE NOT AGAINST BRIAN MARTINSEN. ALLEGED
UNAUTHORIZED TRADES, ALLEGED EXCESSIVE COMMISSION.
Alleged Damages: $17,000.00
Action Pending?: Yes
Disposition
Details: ALLEGATIONS WERE NOT AGAINST BRIAN MARTINSEN.
******** CUSTOMER COMPLAINT (2 of 3) ********
Reporting Source: Firm (Form U-5)
Date Reported: 02/25/2003
Date Received: 03/09/2001
Employing Firm: J. P. TURNER & COMPANY, LLC
Allegations: CUSTOMER HAS ALLEDGED THAT HIS ACCOUNT WAS EXCESSIVELY TRADED.
Alleged Damages: $800,000.00
Action Pending?: No
Resolution: Arbitration/Reparation
Resolution
Date: 10/02/2001
Arbitration/Reparation
Details: NASD CASE # 01-03826
Service Date: 10/02/2001
Pending?: No
Disposition: Settled
Disposition
Date: 02/12/2003
Monetary Compensation
Amount: $79,500.00
NASD Public Disclosure Program July 08, 2003 Page 7
This information is current as of: 07/08/2003
________________________________________________________________________________
NASD Registered Person: BRIAN KEITH MARTINSEN
CRD Number: 2815688
CUSTOMER COMPLAINTS(cont.)
Disposition
Details:
***********************************
Reporting Source: Broker (Form U-4)
Date Reported: 05/20/2003
Date Received: 03/09/2001
Employing Firm: J.P. TURNER AND COMPANY, LLC
Allegations: ALLEGED EXCESSIVE TRADING.
Alleged Damages: $79,500.00
Action Pending?: No
Resolution: Arbitration/Reparation
Resolution
Date: 10/02/2001
Arbitration/Reparation
Details: NASD #01-03826
Service Date: 10/02/2001
Pending?: No
Disposition: Settled
Disposition
Date: 01/23/2003
Monetary Compensation
Amount: $79,500.00
Individual Contribution
Amount: $0.00
Disposition
Details: BROKER AND BROKER DEALER DENY ALL ALLEGATIONS AND WRONGDOING.
CASE SETTLED BY BROOKER DEALER TO AVOID FURTHER LEGAL
COSTS.BROKER RELEASED.
******** CUSTOMER COMPLAINT (3 of 3) ********
Reporting Source: Firm (Form U-5)
Date Reported: 03/18/2003
Date Received: 05/13/2002
Employing Firm: FIRST MONTAUK SECURITIES CORP.
Allegations: CUSTOMER ALLEGES UNSUITABILITY, UNAUTHORIZED TRADING AND
OVERTRADING IN THE HANDLING OF HIS ACCOUNT
Alleged Damages: $45,000.00
Action Pending?: No
Resolution: Arbitration/Reparation
Resolution
Date: 05/13/2002
Arbitration/Reparation
Details: NASD ARBITRATION #02-02515
Service Date: 05/13/2002
Pending?: No
Disposition: Settled
Disposition
Date: 02/18/2003
Monetary Compensation
Amount: $14,999.00
Individual Contribution
Amount: $2,500.00
NASD Public Disclosure Program July 08, 2003 Page 8
This information is current as of: 07/08/2003
________________________________________________________________________________
NASD Registered Person: BRIAN KEITH MARTINSEN
CRD Number: 2815688
CUSTOMER COMPLAINTS(cont.)
Disposition
Details: THE CASE WAS SETTLED SO AS TO AVOID THE TIME AND EXPENSE OF
LITIGATION AND NOT BY AN ADMISSION OF LIABILITY. THE FIRM AND
MR. MARTINSON DENY THE ALLEGATIONS.
***********************************
Reporting Source: Broker (Form U-4)
Date Reported: 05/20/2003
Date Received: 05/28/2002
Employing Firm: MONTAUK FINANCIAL
Allegations: ALLEGED UNAUTHORIZED TRADING,ALLEGED CHURNING.
Alleged Damages: $45,000.00
Action Pending?: No
Resolution: Arbitration/Reparation
Resolution
Date: 05/28/2002
Arbitration/Reparation
Details: NASD # 02-02515
Service Date: 05/28/2002
Pending?: No
Disposition: Settled
Disposition
Date: 02/18/2003
Monetary Compensation
Amount: $14,999.00
Individual Contribution
Amount: $2,500.00
Disposition
Details: BROKER AND FIRM DENY ALL ALLEGATIONS AND WRONGDOING. SETTLED
ONLY TO AVOID FURTHER LEGAL FEES AND TIME BUT NOT AS ADMISSION
OF LIABILITY.
************ END OF REPORT ************ |
