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Category: Worden Capital Management

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Allegations of Churning, Unsuitability and Unauthorized Trading Pending Against former Worden Capital Management Broker Christ Baltas

Christ Elias Baltas (CRD#: 2570499) is a previously registered Broker. He entered the securities industry in 1995 and previously worked for Worden Capital Management, LLC; Wilmington Capital Securities, LLC; Kovack Securities, Inc.; Quest Capital Strategies, Inc.; Ladenburg, Thalmann & Co., Inc.; and Ladenburg Capital Management, Inc. According to publicly available records released by the Financial […]

Former Worden Capital And Current SW Financial Broker, Joseph Todaro, Has Four Customer Complaint Disclosures

Joseph Todaro (CRD#: 5708585) is a registered Broker at SW Financial in Melville, NY. He entered the securities industry in 2012 and previously worked for Worden Capital Management LLC; Spartan Capital Securities, LLC; Laidlaw & Company (UK) LTD; Craig Scott Capital, LLC; Rockwell Global Capital, LLC; and EKN Financial Services, Inc. According to publicly available […]

FINRA Suspends Former Worden Capital Management Broker, David Weisberg, For Allegedly Engaging In Excessive And Unsuitable Trading In The Account Of An Elderly Customer

David Weisberg (CRD # 5610111) was a Financial Advisor at Worden Capital Management in New York, NY. David Weisberg has been in the securities industry since 2009 and previously worked at two brokerage firms that have since been expelled from the industry by FINRA, including Legend Securities and John Thomas Financial. According to publicly available […]

The SEC Obtains Final Judgment Against Former Worden Capital Management Broker, Donald Fowler, For Excessive Trading And Churning In Customer Accounts

Donald Fowler (CRD # 4989632) was a Financial Advisor at Worden Capital Management in Rockville Center, New York. Donald Fowler has been in the securities industry since 2005 and previously worked for JD Nicholas & Associates and American Capital Partners. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on February […]

Former Worden Capital Management Financial Advisor, Gregory Dean, Barred By FINRA For Sales Practice Violations

Gregory T. Dean (CRD # 4922996) was a Financial Advisor at Worden Capital Management LLC in Rockville Center, New York.  Gregory Dean has been in the securities industry since 2005 and previously worked at J.D. Nichols & Associates, American Capital Partners, Metlife Securities and Metropolitan Life Insurance Company. According to publicly available records released by […]

Former SW Financial And Worden Capital Broker, Yousuf Saljooki, Suspended By FINRA For Nine Months

Yousuf Saljooki (CRD # 5045123) was a Financial Advisor at SW Financial and Worden Capital Management in Melville, NY.  Yousuf Saljooki has been in the securities industry since 2006 and previously worked at three brokerage firms that have been expelled by FINRA.  According to publicy available records released by the Financial Industry Regulatory Authority (FINRA), […]

Worden Capital Management Financial Advisor, Gregory Dean, Has Thirteen Customer Complaints

Gregory Dean is a Financial Advisor at Worden Capital Management LLC in Rockville Center, New York.  Gregory Dean has been in the securities industry since 2005 and previously worked at J.D. Nichols & Associates, American Capital Partners, Metlife Securities and Metropolitan Life Insurance Company. According to publicly available records released by the Financial Industry Regulatory […]

Worden Capital Management Financial Advisor, Robert Yasnis, Has Four Customer Complaints, Including One Pending Complaint, Alleging Churning And Unauthorized Trading

Robert Yasnis is a Financial Advisor at Worden Capital Management in Melville, NY.  Robert Yasnis has been in the securities industry since 1993 and previously worked at Laidlaw & Company and three brokerage firms that have been expelled from the industry by the Financial Industry Regulatory Authority.     According to publicly available records released by […]

Worden Capital Management Financial Advisor, Sean McCabe, Has Six Customer Complaints, Alleging Sales Practice Violations

Sean McCabe is a Financial Advisor at Worden Capital Management in Westbury, NY.  Sean McCabe has been in the securities industry since 2008 and previously worked at Four Points Capital Partners.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Sean McCabe has six customer complaint disclosures on his CRD, alleging […]