JOSEPH FRANK FERNANDES is currently employed as a Broker and/or Investment Adviser at GWN SECURITIES INC. located at 517 RT 1 SOUTH SUITE 4100, ISELIN, NJ, 08830.
JOSEPH FRANK FERNANDES has worked at GWN SECURITIES INC. since May 22, 2015
Disclosure History
JOSEPH FRANK FERNANDES has 2 Disclosure Event(s).
Date: July 30, 2009 Category: Employment Separation After Allegations Firm Name: RAYMOND JAMES & ASSOCIATES Termination Type: Permitted to Resign Allegations: VIOLATION OF STATE REGISTRATION REQUIREMENTS;THE VIOLATION WAS SELF REPORTED Broker Comment: TOOK ORDER FOR A BROKER WHO WAS OUT OF OFFICE AND EXECUTED A TRADE NOT REALIZING I WAS NOT REGISTERED IN CLIENT'S RESIDENT STATE SEL REPORTED ERROR.
Date: April 02, 1997 Category: Criminal Charges: THE COMPLAINT ALLEGED THAT I WROTE A CHECK INTHE AMOUNT OF $1,544.00 WITHOUT HAVING SUFFICIENT FUNDS. Disposition: I PAID $150.00 IN RESTITUTION AND THE CASE WASDISMISSED. Broker Comment: AS A CORPORATE OFFICER, I ISSUED A CHECK TO PAYFOR TRAVEL EXPENSES. BEFORE THE CHECK WAS HONORED, THECORPORATION FILED FOR BANKRUPTCY AND THE CHECK WAS NOT HONORED. THE TRAVEL AGENCY CLAIMED $1,544.00 WHEN THE NSF AMOUNT WASONLY $150.00. THE ACTION WAS DISMISSED AFTER I MADERESTITUTION OF $150.00.
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