Tag Archives: Garland Sean James

Garden State Stockbroker Barred For Failure to Pay Arbitration Award

September 14, 2020  |   Posted by :   |   Boilerroom Sales, Churning, Securities Arbitration Claims   |   Comments Off on Garden State Stockbroker Barred For Failure to Pay Arbitration Award

Garland Sean James (also known as Gary James) a stockbroker formerly registered with Garden State Securities and Global Arena Capital Corp has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that he neglected to cooperate with the terms of a FINRA Arbitration Award in which […]

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Garden State Securities Stockbroker Barred

March 08, 2017  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Garland Sean James, of New York, New York, a stockbroker formerly registered with Garden State Securities, Inc., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to provide information to FINRA personnel as requested. Letter No. 2015047471301 (Sept. 13, […]

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