June 2020-Red Bank, NJ
According to publicly available records. Anthony R. Joslin (CRD#2281191), a stockbroker employed with Garden State Securities, Inc. discloses 2 regulatory events, 1 pending customer disputes, 7 prior customer disputes and a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 6/2014 Massachusetts filed case R-2014-0047 alleging that Garden State Securities, Inc. submitted to FINRA’s CRD an application of securities industry registration seeking registration of Joslin as an agent of Garden State in Massachusetts. Joslin has been the subject of 8 customer complaints, as reported on the CRD, alleging inter alia, unsuitability unauthorized trading, failure to follow instructions and churning. Joslin individually contributed $103,000 towards the settlement of these complaints. According to information disclosed on the CRD, Joslin voluntarily resigned while under investigation by his former firm, Grayson Financial, into whether Joslin misappropriated the firm’s propriety information. Joslin was fine $5,000 and was suspended from NASD for 30 days.
In 2004 NASD filed case C9B040047 alleging that Joslin failed to reasonably supervise registered representative of member firm, so as to prevent violations of applicable rules. He was assessed a $5,000 monetary fine.
From 2000 to 2005, five customer complaints were filed alleging among other things, poor performance, unsuitability, unauthorized trades, failure to follow instructions, excessive commissions and churning. The cases were settled for the collective amount of almost $200,000.
In 6/ 2019, a customer of Garden State Securities, Inc. filed FINRA case #10-00711 alleging negligence, breach of contract, breach of fiduciary duty, fraud and misrepresentation. The customer is seeking damages of over $300,000. This case is pending.
In 2003 Joslin was allowed to voluntarily resign from Grayson Financial after investigating whether Joslin, while employed at Grayson, took steps to solicit the transfer of Grayson client accounts to JP Turner and directed the misappropriation of proprietary firm information.
Joslin has been employed by Garden State Securities, Inc. since March 2014.
If you had an account with Anthony Joslin that suffered losses, you may be entitled to collect damages from his employer. Call to discuss your options.
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