Tag Archives: Garden State Securities

FINRA Sanctions Woodstock Financial Stockbroker For Unsuitable Trading

August 26, 2021  |   Posted by :   |   Excessive Trading, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on FINRA Sanctions Woodstock Financial Stockbroker For Unsuitable Trading

Maxim Beliakov of Red Bank New Jersey a stockbroker formerly registered with Woodstock Financial Group has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he engaged in unsuitable and excessive trading in a Woodstock Financial Group customer’s account. […]

Read More »

Garden State Broker Terminated For Unauthorized Trading

November 20, 2017  |   Posted by :   |   Unauthorized Trading   |   0 Comments

Jonathan William Iraggi, of Red Bank, New Jersey, a stockbroker registered with Garden State Securities, Inc., has been terminated from employment on July 11, 2017, based upon allegations that he traded in customer accounts without authorization. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that on January 2, 2015, a customer filed an investment related […]

Read More »

Garden State Securities Broker Suspended for Unauthorized Trading

May 25, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Terry Lee Brodt Jr., of Red Bank, New Jersey, a stockbroker currently registered with Garden State Securities, Inc., has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon for a period of two weeks consenting to findings that he effected trades in customer accounts […]

Read More »

Garden State Securities Stockbroker Suspended for Customer Borrowing

Darnell A. Deans, a Stockbroker with Garden State Securities, was suspended from association with any Financial Industry Regulatory Authority (FINRA) member in any and all capacities for eight months and fined $10,000 per an Office of Hearing Officers Settlement containing findings that Deans had borrowed funds in violation of his firm’s policies. Department of Enforcement […]

Read More »