Worden Capital Management investigation Archives

ER
May 4, 2022

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g May 4, 2022 October 4, 2023

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…

ER
May 4, 2022

William Athas-Former Worden Capital Broker-Barred From Securities Industry by Regulator For Excessive Trading-Melville, NY

William Athas-Former Worden Capital Broker-Barred From Securities Industry by Regulator For Excessive Trading-Melville, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g May 4, 2022 October 5, 2023

William Athas Investigation May 2022-Melville, New York The FINRA records of William N. Athas, a former stock broker who was last employed in the industry by SW Financial , disclose a regulatory…

Robert Rex, Esq.
March 21, 2022

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 21, 2022 September 29, 2023

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,…

Robert Rex, Esq.
November 5, 2021

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 5, 2021 September 29, 2023

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…

Robert Rex, Esq.
September 15, 2021

Donald Fowler-Former Worden Capital Management Broker-Accused of Churning-Barred From Industry-Rockville Centre, NY

Donald Fowler-Former Worden Capital Management Broker-Accused of Churning-Barred From Industry-Rockville Centre, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 15, 2021 September 15, 2021

September 2021-Rockville Centre , New York The FINRA records of Donald J. Fowler , a previously registered stock broker was last employed by Worden Capital Management, disclose 13 prior finalized customer disputes , 2 pending…

Robert Rex, Esq.
September 14, 2021

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 14, 2021 September 14, 2021

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…

Robert Rex, Esq.
August 12, 2021

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g August 12, 2021 August 12, 2021

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…

Robert Rex, Esq.
July 28, 2021

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 28, 2021 July 28, 2021

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,…

Robert Rex, Esq.
July 24, 2021

Jason A. Wilk-Former Worden Capital Broker-Suspended by FINRA-New York

Jason A. Wilk-Former Worden Capital Broker-Suspended by FINRA-New York https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 24, 2021 July 24, 2021

August 2021-New York, NY According to publicly available records Jason Andrew Wilk , a former stockbroker who is not currently registered and who was last employed by Worden Capital Management ,…

Robert Rex, Esq.
January 2, 2020

Jason P. Collichio-Worden Capital Broker-Discloses Regulatory Matter-Rockville Center.,NY

Jason P. Collichio-Worden Capital Broker-Discloses Regulatory Matter-Rockville Center.,NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 2, 2020 January 2, 2020

September 2021- Rockville Center, NY According to publicly available records Jason Paul Collichio (CRD#4727199) , a stockbroker currently registered with Worden Capital Management discloses a regulatory matter that resulted in a suspension and…