SHELDON GRODSKY is currently employed as a Broker and/or Investment Adviser at GRODSKY ASSOCIATES, INC. located at 29 LONGVIEW ST, APT 2, WEST ORANGE, NJ, 07052.
SHELDON GRODSKY has worked at GRODSKY ASSOCIATES, INC. since February 10, 1992
Disclosure History
SHELDON GRODSKY has 1 Disclosure Event(s).
Date: January 20, 2000 Category: Regulatory Initiated By: THE NATIONAL ASSOCIATION OF SECURITIES DEALERS Allegations: 02/04/00GS: NASD RULES 1120, 2110 AND 3010 - RESPONDENT MEMBER, ACTING THROUGH RESPONDENT GRODSKY, FAILED TO ESTABLISH AND MAINTAIN ADEQUATE WRITTEN SUPERVISORY PROCEDURES; AND, FAILED TO PREPARE AN ADEQUATE CONTINUING EDUCATION NEEDS ANALYSIS AND TRAINING PLAN IN 1996 AND 1997. Resolution: Acceptance, Waiver & Consent(AWC) SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $3,500.00 Sanction Details: FINED $3,500, JOINTLY AND SEVERALLY WITH GRODSKY ASSOCIATES, INC. *** 10/31/00GS: $3,500 PAID J&S ON 02/25/00, INVOICE NO. 00-10-74. Broker Comment: IN ROUTINE EXAMINATION OF FIRM, NASD FOUND INADEQUACIES IN THE FIRM'S WRITTEN SUPERVISORY PROCEDURES AND CONTINUING EDUCATION PROGRAM.
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