Daniel Richard Hajduk of Mount Prospect, Illinois, a stockbroker registered with Coordinated Capital Securities Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Hajduk failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules. Case No. 2021069375801 (Sept. 26, 2022).
According to the AWC, FINRA began an investigation into Hajduk after a cycle examination of specific trades executed by Hajduk while he was associated with Coordinated Capital Securities Inc. Pursuant to the FINRA investigation, Hajduk was sent a request by FINRA on August 29, 2022, to appear for on-the record-testimony. On September 1, 2022, Hajduk acknowledged in a phone call with FINRA investigators that he had received the request, but he would not appear for testimony at any time. Hajduk’s refusal to appear for testimony resulted in him violating FINRA Rules 2010 and 8210.
This is not the first time that Hajduk has been the subject of a regulatory action concerning his conduct in the securities industry. FINRA Public Disclosure shows that Hajduk has been fined $15,000.00 by NASD based upon allegations that Hajduk made unsuitable recommendations. Case No. C8A910030 (Feb. 27, 1992). On August 31, 1993, Hajduk was fined $5,000.00 and suspended for twenty days by NASD based upon allegations that Hajduk made unauthorized transactions. Case No. C8A920083.
FINRA Public Disclosure shows that Hajduk was referenced in customer initiated investment related disputes concerning Hajduk’s conduct while associated with securities broker dealers in 1987. On April 24, 1987, a customer initiated investment related complaint involving Hajduk’s conduct was settled for $10,000.00 in damages based upon allegations that Hajduk made unsuitable transactions in connection with the recommendation and sale of investments when Hajduk was associated with Stifel Nicolaus Company Inc. Another arbitration claim involving Hajduk’s conduct was settled for $36,250.00 in damages based upon allegations that Hajduk made unsuitable recommendations when Hajduk was associated with Blunt Ellis Loewi. FINRA Arbitration No. 91-00664.
Coordinated Capital Securities Inc. terminated Hajduk’s registration based upon allegations that Hajduk failed to cooperate with a FINRA investigation. He was associated with Coordinated Capital Securities Inc. from April 22, 1991 to September 23, 2022.
