Emmet Martin: $150K Complaint Against Trustmont Advisor

A recent investor complaint against Mauldin, South Carolina financial advisor Emmet Martin (CRD# 3053367) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Trustmont Financial Group and an investment advisor with Trustmont Advisory Group.

Mr. Martin’s BrokerCheck report discloses one investor complaint. Filed in February 2026, it alleges that as a representative of Trustmont Financial Group, he mishandled the customer’s retirement assets, failed to properly allocate and diversify the portfolio, and recommended inappropriate and unsuitable investments. The pending complaint alleges damages of $150,000.

A second disclosure on his BrokerCheck report concerns his termination from Raymond James Financial Services. Filed in 2010, the disclosure states that the firm fired him in connection with allegations that he violated company policy regarding fixed indexed annuities.

FINRA Rule 2010 requires FINRA-associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Many types of unethical conduct, including the mishandling of a customer’s accounts, may be found to constitute violations of FINRA Rule 2010, provided the alleged activities occur “in the conduct of [the member’s] business.” Brokers who fail to uphold FINRA Rule 2010 may be held liable in the event of losses.

According to the Financial Industry Regulatory Authority, Emmet Martin holds 27 years of securities industry experience. Based in Mauldin, South Carolina, he has been registered as a broker with Trustmont Financial Group and an investment advisor with Trustmont Advisory Group since 2010. His registration history includes Novus Advisors, Raymond James Financial Services, CIC Advisers, Capital Investment group, SunTrust Investment Services, Wachovia Securities, Prudential Securities, and Dean Witter Reynolds. His credentials include the passage of eight securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the Investment Company Products/Variable Contracts Principal Examination, or Series 26; the General Securities Principal Examination, or Series 24; the Registered Options Principal Examination, or Series 4; the Futures Managed Funds Examination, or Series 31; and the General Securities Representative Examination, or Series 7. He is licensed in California, Georgia, Maine, Maryland, Massachusetts, Minnesota, New York, North Carolina, South Carolina, and Tennessee. (Information current as of March 22, 2026.)

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