Martin Barwikowski: FINRA Bars Ex-Stirlingshire Advisor

Former New York City financial advisor Martin Barwikowski (CRD# 5257475) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Stirlingshire Investments and Spartan Capital.

A Letter of Acceptance, Waiver, and Consent (No. 2018056490322) describes FINRA’s disciplinary action against Mr. Barwikowski. Filed in March 2025, it states that he “refused to produce information and documents requested pursuant to FINRA Rule 8210.” This rule empowers FINRA to require persons under its jurisdiction to provide materials and testimony connected with matters under its investigation. The rule also stipulates that such persons may not fail to comply with such requests.

As the AWC Letter states, FINRA had previously initiated an investigation “into potential sales practice investigations,” and accordingly requested “certain electronic communication and bank and other financial records,” among other materials. After receiving FINRA’s March 55 request, Mr. Barwikowski indicated to FINRA via a phone call on February 26 that he would not comply. FINRA found that his failure violated Rule 8210 as well as Rule 2010, which requires associated persons to observe high standards of commercial honor and just and equitable principles of trade. As a result of these findings, FINRA barred him from associating with any member firm in any capacity.

Mr. Barwikowski’s BrokerCheck report discloses his termination from Stirlingshire Investments. Filed in June 2024, it states that the firm fired him after becoming aware he “was dealing with substance abuse issues that were effecting his work.” As a result of these issues, the disclosure adds, “he had his trading capability removed.” Although the firm “offered to pay for his treatment,” it states further, he “refused to go to treatment,” and it “made the decision to terminate the relationship.”

According to the Financial Industry Regulatory Authority, Martin Barwikowski holds nine years of securities industry experience. Most recently based in New York City, he was last registered as a broker with Stirlingshire Investments from 2022 until 2024. His registration history includes Spartan Capital Securities, Newbridge Securities Corporation, Great Point Capital, Dinosaur Securities, and Avenir Financial Group. He has been barred by FINRA and is not currently registered with any broker-dealer firm. (Information current as of March 15, 2025.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.