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- FINRA Charges Worden Capital Stockbroker With Churning
William Nicholas Athas, of Melville, New York, a stockbroker formerly registered with Worden Capital Management LLC, has been charged by Financial Industry Regulatory Authority (FINRA) with excessively trading and churning investor accounts when he was associated with Worden Capital Management
- Worden Capital’s Jamie Worden Suspended by FINRA
A pending complaint filed in July 2021 alleges that while at Worden Capital Management, Jamie Worden failed in his supervisory duties in connection to stock products and margin sellouts
- Jamie Worden Embroiled in $3 Million Investor Dispute
Jamie Worden (CRD #: 4637404), a broker registered with Worden Capital Management, is involved in multiple investor disputes, including disputes that allege losses of over $1 million
- William Athas-Former Worden Capital Broker-Barred From Securities . . .
The FINRA records of William N Athas, a former stock broker who was last employed in the industry by SW Financial , disclose a regulatory matter, one pending customer dispute and 8 prior customer disputes
- Broker John Cangialosi Ordered by FINRA to Pay Customer Restitution
Ex-Worden Capital broker John Cangialosi has been suspended by FINRA and ordered to pay over $200k in customer restitution Learn more
- Worden Capital Management Ordered to Pay $1. 5 Million Over Systemic . . .
FINRA issued a $1 5 million penalty to Worden Capital Management, including $1 2 million in restitution and a $350,000 fine, for supervisory and other violations that resulted in excessive trading by the firm's representatives of customer accounts
- Investor Alert: David Weisberg was fined $7,500 and suspended for . . .
FINRA fined $7,500 and suspended David Weisberg (CRD #5610111) from Brooklyn, New York of WORDEN CAPITAL MANAGEMENT LLC for engaging in excessive and unsuitable trading in the account of an elderly customer
- Donald Fowler: FINRA, SEC Sanction Worden Rep Over Options Strategy
Former Rockville Center, New York stockbroker Donald Fowler (CRD# 4989632) has been sanctioned by the Financial Industry Regulatory Authority and charged with fraud by the Securities and Exchange Commission Previously a representative of Worden Capital Management, Mr Fowler has been barred from acting as a broker
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