{"id":7476,"date":"2018-12-31T12:52:08","date_gmt":"2018-12-31T17:52:08","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7476"},"modified":"2018-12-31T12:55:07","modified_gmt":"2018-12-31T17:55:07","slug":"finra-suspends-broker-jonathan-iraggi-for-compliance-issue","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-jonathan-iraggi-for-compliance-issue\/","title":{"rendered":"FINRA Suspends Broker Jonathan Iraggi For Compliance Issue"},"content":{"rendered":"<p>Jonathan William Iraggi (<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/5857254\" target=\"_blank\">CRD #5857254<\/a>) is a former registered broker whose last employer was <a href=\"https:\/\/www.silverlaw.com\/national-securities-corporation.html\" target=\"_blank\">National Securities Corporation<\/a> (CRD #7569) of Morganville, NJ. His previous employers include Garden State Securities, Inc. (CRD #10083) of Red Bank, NJ, Spartan Capital Securities, LLC (CRD #146251) and Portfolio Advisors Alliance, Inc. (CRD #101680) of New York, NY.\u00a0 No current employment information is available. He has been in the industry since 2011.<\/p>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft  wp-image-4620\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Ledoux-Fined-and-Suspended-by-FINRA-After-Failing-to-Disclose-Liens-on-His-Registration-300x200.jpg\" alt=\"David-Ledoux-Fined-and-Suspended-by-FINRA-After-Failing-to-Disclose-Liens-on-His-Registration-300x200\" width=\"245\" height=\"163\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Ledoux-Fined-and-Suspended-by-FINRA-After-Failing-to-Disclose-Liens-on-His-Registration-300x200.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Ledoux-Fined-and-Suspended-by-FINRA-After-Failing-to-Disclose-Liens-on-His-Registration-768x512.jpg 768w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Ledoux-Fined-and-Suspended-by-FINRA-After-Failing-to-Disclose-Liens-on-His-Registration-1024x683.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Ledoux-Fined-and-Suspended-by-FINRA-After-Failing-to-Disclose-Liens-on-His-Registration-1000x667.jpg 1000w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Ledoux-Fined-and-Suspended-by-FINRA-After-Failing-to-Disclose-Liens-on-His-Registration-180x120.jpg 180w\" sizes=\"auto, (max-width: 245px) 100vw, 245px\" \/>Iraggi is the subject of four disclosures, the most recent a disciplinary action by FINRA, as well as one employment discharge and two denied customer disputes. In the FINRA action, filed on 8\/23\/2018, Iraggi failed to notify his employer firm, Garden State Securities, that he had verbal authorization to exercise discretion in three customer accounts. Iraggi did not obtain written authorization from the clients, nor written authorization from the firm to service the accounts on a discretionary basis.<\/p>\n<p>Later, when filling out an annual compliance questionnaire in December of 2016, Iraggi failed to disclose to the firm that he had exercised discretion with a customer\u2019s account, answering \u201cno\u201d when he actually had. Iraggi was fined $5,000 and a 30-day suspension from any association with a FINRA member firm, consented to the findings and signed a letter of Acceptance, Waiver &amp; Consent (AWC.)<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-jonathan-iraggi-for-compliance-issue\/\"  title=\"Continue Reading FINRA Suspends Broker Jonathan Iraggi For Compliance Issue\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Jonathan William Iraggi (CRD #5857254) is a former registered broker whose last employer was National Securities Corporation (CRD #7569) of Morganville, NJ. His previous employers include Garden State Securities, Inc. (CRD #10083) of Red Bank, NJ, Spartan Capital Securities, LLC (CRD #146251) and Portfolio Advisors Alliance, Inc. (CRD #101680) of New York, NY.\u00a0 No current [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580,581],"tags":[1360,1361,167,1344,35],"class_list":["post-7476","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct","category-unauthorized-trading","tag-jonathan-iraggi","tag-jonathan-iraggi-national-securities-corporation","tag-national-securities-corporation","tag-securities-fraud-attorney","tag-unauthorized-trading"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA Suspends Broker Jonathan Iraggi For Compliance Issue &#8212; Securities Arbitration Lawyers Blog &#8212; December 31, 2018<\/title>\n<meta name=\"description\" content=\"Jonathan William Iraggi (CRD #5857254) is a former registered broker whose last employer was National Securities Corporation (CRD #7569) of Morganville, &#8212; December 31, 2018\" \/>\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-suspends-broker-jonathan-iraggi-for-compliance-issue\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Suspends Broker Jonathan Iraggi For Compliance Issue &#8212; Securities Arbitration Lawyers Blog &#8212; December 31, 2018\" \/>\n<meta name=\"twitter:description\" content=\"Jonathan William Iraggi (CRD #5857254) is a former registered broker whose last employer was National Securities Corporation (CRD #7569) of Morganville, &#8212; December 31, 2018\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Ledoux-Fined-and-Suspended-by-FINRA-After-Failing-to-Disclose-Liens-on-His-Registration.jpg\" \/>\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=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Suspends Broker Jonathan Iraggi For Compliance Issue &#8212; 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