June 2019-Melville, NY The FINRA records of Abed William Lulu , a financial advisor previously employed by Worden Capital Management disclose 6 regulatory events, 3 prior customer disputes, 4 outstanding judgments. The…
read moreJanuary 2019-Garden City, NY The FINRA records of Michael R. Rosalia , a financial advisor employed by Worden Capital Management disclose a pending customer dispute, 6 prior customer disputes, a bankruptcy filing and 9 outstanding…
read moreNovember 2019 UPDATE -Staten Island In 95/2018 Decker was permanently barred from the industry by FINRA to resolve allegations that he failed to cooperate with a FINRA investigation. The Toledo…
read moreAugust 2019-Garden City, NY The FINRA records of Gregory T. Dean , a former broker who was last employed by Worden Capital Management LLC disclose 3 prior regulatory matters, a prior civil matter,…
read moreMay 2017-Westbury, New York The FINRA records of Douglas E. Duncan , a stockbroker who is currently registered with PHX Financial and Scottrade, Inc. disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…
read moreJuly 2016-Garden City, New York The FINRA records of Joseph O. Clemente, Jr. , a currently unlicensed stock broker who was last employed by Worden Capital Management , disclose a pending customer dispute and a prior finalized…
read moreRockville Center, New York UPDATE MAY 2017–Michael Valdini discloses two additional currently pending customer disputes: FINRA Case 16-3569- a customer of J.D. Nicholas & Assoc. alleges damages of $2.1 million…
read moreJuly 2016-Lake Success, New York The FINRA records of Christos A. Kalatoudis , a currently unlicensed stock broker who was last employed by Worden Capital Management, disclose 2 prior regulatory events, 4 prior finalized customer disputes and 2…
read moreUPDATED January 2019-In 9/2018, the US Securities & Exchange Commission filed a civil suit alleging that Botvinnik engaged in fraud involving excessive commissions to enrich himself while his customers experienced…
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