GARDEN STATE SECURITIES INC

11/27/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT N0. 2010039584-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Garden State Securities, Inc., Respondent Broker-Dealer CRD No. 10083 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Garden State Securities, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2010023958401finra.orgdata-portal.finra.org

07/23/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEAR1NG OFF1CERS Department of Enforcement, Complainant, v. GARDEN STATE SECURITIES, INC. (BD No. 10083), Respondent. DISCIPLINARY PROCEEDING No. 2011025318202 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between February 2010 and March 2012, Respondent Garden State Securities, Inc. ("GSS" or the "Firm") failed to report, or timely report, various events to FINRA pursuant to NASD Conduct Rule 3070 and FINRA Rule 4530. The events included

06/16/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. GARDEN STATE SECURITIES, INC. (BD No. 10083), Respondent. Disciplinary Proceeding No. 2011025318202, Hearing Officer DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 16, 2015\ INTRODUCTION Disciplinary Proceeding No. 2011025318202 was filed on July 23, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Garden State Securities,

Reference 2011025318202data-portal.finra.orgdata-portal.finra.orgfinra.org

07/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023469301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Garden State Securities, Inc., Respondent Member Firm CRD No. 10083 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

Reference 2010023469301data-portal.finra.orgfinra.org

04/12/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035131702 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Garden State Securities, Inc., Respondent BD No. 10083 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Garden State Securities, Inc. ("GSS" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2013035131702data-portal.finra.orgfinra.org

07/07/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B20050057 TO: Department of Enforcement NASD RE: Garden State Securities, Inc. BD No. 10083 Pursuant to Rule 9216 of NASD Code of Procedure, Garden State Securities, Inc. ("Garden State") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted NASD will not bring any future actions against us

Reference E9B2005005701data-portal.finra.orgfinra.org

09/27/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018058892501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Garden State Securities, Inc. (Respondent) Member Firm CRD No. 10083 Pursuant to FINRA Rule 9216, Respondent Garden State Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2018058892501data-portal.finra.orgfinra.org

09/21/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Garden State Securities, Inc., CRD No. 10083, Respondent. Disciplinary Proceeding No. 2009016230601 Hearing Officer- LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 21, 2012 INTRODUCTION Disciplinary Proceeding No. 2009016230601 was filed on December 21, 2011, by the Department of Enforcement of the Financial

Reference 2009016230601data-portal.finra.orgfinra.org

02/22/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050005259-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Garden State Securities, Inc., Respondent Broker-Dealer CRD No. 10083 Ted Baturin, Respondent General Securities Representative CRD No. 2259696 Christopher Lane, Sr., Respondent General Securities Principal CRD No. 301668 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Garden State Securities, Inc.

Reference 2005000525902finra.orgdata-portal.finra.org