Javier Martin-Riva: Bulltick Advisor Faces $20 Million Complaint

A recent investor complaint against Miami financial advisor Javier Martin-Riva (CRD# 6706706) alleges that he misrepresented a convertible note investment and misappropriated funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Bulltick.

Mr. Martin-Riva’s BrokerCheck report discloses one investor complaint. Filed in January 2024, it alleges that as a representative of Bulltick, he made misrepresentations regarding investments in convertible notes issued by technology company Theia International Group. It further alleges that he and other parties misappropriated funds. The pending complaint alleges damages of $20 million.

In a statement included with the complaint’s disclosure, Mr. Martin-Riva denies the allegations and states that he did not misappropriate funds. “Plaintiffs are sophisticated institutions that employ sophisticated, professional management teams, including investment professionals and in-house legal counsel,” he states, “and that invested in this private placement after conducting their own due diligence, meeting directly with Theia’s executives on multiple occasions, and retaining their own external legal counsel to advise them in the due diligence and investment process.”

According to the Financial Industry Regulatory Authority, Javier Martin-Riva holds five years of securities industry experience. Based in Miami, Florida, he has been registered as a broker and an investment advisor with Bulltick since 2019. He was previously registered with Oppenheimer & Company in Miami, Florida from 2016 until 2017. His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Florida. (Information current as of February 10, 2024.)

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