{"id":11662,"date":"2025-05-06T09:41:12","date_gmt":"2025-05-06T13:41:12","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11662"},"modified":"2025-05-06T09:41:12","modified_gmt":"2025-05-06T13:41:12","slug":"finra-bars-broker-sanford-simmons","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-sanford-simmons\/","title":{"rendered":"FINRA Bars Broker Sanford Simmons"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-11663 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2025\/05\/Blog-Graphics14.png\" alt=\"Sanford Simmons (Sanford Graham Simmons CRD# 1018907, aka, \u201cSandy Simmons Jr, Sanford Graham Simmons Jr, Sanford Graham (Jr) Simmons\u201d) is a previously registered broker and investment advisor last employed with Saxony Securities, Inc. (CRD# 115547) of Castle Rock, CO. Recent employers include Patrick Capital Markets, LLC (CRD# 16518), also of Castle Rock, Colorado Financial Service Corporation (CRD# 104343) of Centennial, CO, and Wealthforge Securities, LLC (CRD# 152550) of San Clemente, CA. He has been in the industry since 1981.\n\nSaxony Securities allowed Simmons to resign on or about 10\/1\/2024 after he \u201cfailed to appear for a scheduled 8210 inquiry.\u201d\u00a0 FINRA\u2019s Rule 8210 requires individuals to provide on-the-record testimony for anything that is subject to an investigation. Brokers and other associated individuals are required under FINRA\u2019s rules to comply with requests for information and testimony.\n\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2025\/05\/Blog-Graphics14.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2025\/05\/Blog-Graphics14-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Sanford Simmons (Sanford Graham Simmons CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/1018907\" target=\"_blank\">1018907<\/a>, aka, <em>\u201cSandy Simmons Jr, Sanford Graham Simmons Jr, Sanford Graham (Jr) Simmons\u201d<\/em>) is a previously registered broker and investment advisor last employed with Saxony Securities, Inc. (CRD# 115547) of Castle Rock, CO. Recent employers include Patrick Capital Markets, LLC (CRD# 16518), also of Castle Rock, Colorado Financial Service Corporation (CRD# 104343) of Centennial, CO, and Wealthforge Securities, LLC (CRD# 152550) of San Clemente, CA. He has been in the industry since 1981. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-sanford-simmons\/#more-11662\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Sanford Simmons (Sanford Graham Simmons CRD# 1018907, aka, \u201cSandy Simmons Jr, Sanford Graham Simmons Jr, Sanford Graham (Jr) Simmons\u201d) is a previously registered broker and investment advisor last employed with Saxony Securities, Inc. (CRD# 115547) of Castle Rock, CO. Recent employers include Patrick Capital Markets, LLC (CRD# 16518), also of Castle Rock, Colorado Financial Service [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580],"tags":[],"class_list":["post-11662","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>FINRA Bars Broker Sanford Simmons &#8212; Securities Arbitration Lawyers Blog<\/title>\n<meta name=\"description\" content=\"Sanford Simmons is a previously registered broker and investment advisor last employed with Saxony Securities of Castle Rock, CO.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-sanford-simmons\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Bars Broker Sanford Simmons &#8212; Securities Arbitration Lawyers Blog\" \/>\n<meta name=\"twitter:description\" content=\"Sanford Simmons is a previously registered broker and investment advisor last employed with Saxony Securities of Castle Rock, CO.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2025\/05\/Blog-Graphics14.png\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Bars Broker Sanford Simmons &#8212; Securities Arbitration Lawyers Blog","description":"Sanford Simmons is a previously registered broker and investment advisor last employed with Saxony Securities of Castle Rock, CO.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-sanford-simmons\/","twitter_card":"summary_large_image","twitter_title":"FINRA Bars Broker Sanford Simmons &#8212; 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