• September 18, 2019
• Garden State Securities

Anthony Joslin (CRD # 2281191) is a Financial Advisor at Garden State Securities in Red Bank, NJ.  Anthony Joslin has been in the securities industry since 1992 and previously worked at JP Turner & Co.      

According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2019, a customer filed a complaint against Anthony Joslin, alleging “negligence, breach of contract, breach of fiduciary duty, fraud and misrepresentation.”  Alleged damages are $300,000 and the matter remains pending.

In addition to the foregoing, complaint, Anthony Joslin has been the subject of numerous complaints and two regulatory sanctions during his career:

• June 2014—The State of Massachusetts placed conditions on Anthony Joslin’s registration in the state, requiring him to, among other things, be placed on heightened supervision. 
• April 2005—“Client alleges unsuitability, unauthorized trades, failure to follow instructions and excessive commissions.”  The matter was settled for $35,610.
• April 2005—“Client alleged churning.”  The matter was settled for $32,500.
• May 2004—“Client alleges losses due to poor performance.”  The matter was settled for $34,000.
• May 2004—FINRA (formerly NASD) sanctioned Anthony Joslin for violating suitability and supervisory rules.  He was sanctioned and a fine of $5,000 was imposed. 
• August 2000—Customer alleged unsuitable trading and use of margin.  The matter was settled for $130,000. 

For a copy of Anthony Joslin’s CRD, click https://brokercheck.finra.org/individual/summary/2281191#disclosuresSection.

Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients.  To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.  

The Wolper Law Firm represents investors nationwide in securities litigation and arbitration on a contingency fee basis.  Matt Wolper, the Managing Principal of the Wolper Law Firm, is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities.  Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters.  We can be reached at 800.931.8452 or by email at mwolper@wolperlawfirm.com.