Worden Capital Management investigation

  • ER

John LoPinto -Former Worden Capital Management Broker- Sanctioned for Excessive Trading- New York, NY
John LoPinto -Former Worden Capital Management Broker- Sanctioned for Excessive Trading- New York, NY 150 150 ER

John LoPinto Investigation May 2022- New York, NY The FINRA records of John LoPinto,  a currently unregistered broker who was last employed by Worden Capital Management,  disclose  2 regulatory events and 3…

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  • Robert Rex, Esq.

Joseph F. Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator & Customer Suits-Melville, NY
Joseph F. Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator & Customer Suits-Melville, NY 150 150 Robert Rex, Esq.

Joseph F. Valdini Investigation March 2022-Melville, New York The FINRA records of Joseph F. Valdini ,  a former stock broker who was last employed in the industry by Aegis Capital Corp. , disclose a regulatory matter,…

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  • Robert Rex, Esq.

David Murray-Former Worden Capital/ Laidlaw & Co. Broker- Subject of Churning Suits- Melville, NY
David Murray-Former Worden Capital/ Laidlaw & Co. Broker- Subject of Churning Suits- Melville, NY 150 150 Robert Rex, Esq.

David M. Murray Investigation  November  2021- Holmdel, NJ According to publicly available records David Murray (CRD#1870050), a stockbroker currently employed with  Monmouth Capital Management LLC,  discloses 3 pending and 3 prior…

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  • Robert Rex, Esq.

Mark Kolta-Former National Securities Corp Broker-Subject of Customer Suits -New York
Mark Kolta-Former National Securities Corp Broker-Subject of Customer Suits -New York 150 150 Robert Rex, Esq.

September 2021 -Garden City , New York According to publicly available records Mark Sam Kolta ,  a   stockbroker who formerly worked for National Securities Corp.  and who  is currently registered with Worden Capital Management, disclose…

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  • Robert Rex, Esq.

Christopher Orlando- Former Spartan Capital Broker- Barred From Industry by Regulator-Staten Island, NY
Christopher Orlando- Former Spartan Capital Broker- Barred From Industry by Regulator-Staten Island, NY 150 150 Robert Rex, Esq.

September 2021- Staten Island, NY The FINRA records of  Christopher G. Orlando ,  a  former financial advisor who was last employed by  Spartan Capital Securities disclose a regulatory event and two…

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  • Robert Rex, Esq.

Joey Gebron- SW Financial Broker- Discloses Settlement of Customer Disputes – New York, NY
Joey Gebron- SW Financial Broker- Discloses Settlement of Customer Disputes – New York, NY 150 150 Robert Rex, Esq.

August 2021, New York, NY According to publicly available records Joseph Omar  “Joey”Gebron  (CRD#2764264) ,  a  stockbroker who is currently registered  with SW Financial  ,  discloses 7 prior customer disputes, one…

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  • Robert Rex, Esq.

John Calardo- Former Worden Capital Broker- Discloses $300K Pending Customer Suit Alleging Churning- NYC
John Calardo- Former Worden Capital Broker- Discloses $300K Pending Customer Suit Alleging Churning- NYC 150 150 Robert Rex, Esq.

July 2020, New York, NY According to publicly available records John Calardo   (CRD# 6063938) ,  a  currently unregistered stockbroker who previously registered  with Four Points Capital Partners & Worden Capital Management,…

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