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Category Worden Capital Management

Suitability Complaint Pending Against Former Worden Capital Management Broker Matthew Gates

September 19, 2021

Matthew Gates (CRD#: 4727945) is a registered Broker at Worden Capital Management, LLC in New York, NY; he is also a previously registered Investment Advisor. He entered the securities industry in 2004 and previously worked for Joseph Gunnar & Co., LLC; Laidlaw & Company (UK) LTD; and Sands Brothers & Co., LTD.   According to…

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

August 8, 2021

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

April 26, 2020

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

March 22, 2020

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…

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Main Office - Fort Lauderdale

1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: (800) 931-8452
(954)-406-1231

Additional Office Locations (by appointment only)
Atlanta

3355 Lenox Road
Suite 7
Atlanta, GA 30326

Indianapolis

13295 N. Illinois St.
Suite 314
Indianapolis, IN 46032

New York City

275 Madison Avenue
Suite 705
New York, NY 10016

Dallas

3102 Maple Ave.
Suite 400
Dallas, TX 75201

Portland

5933 NE Win Sivers Drive
Suite 205
Portland, OR 97220

Denver

7900 E. Union Ave.
Suite 1100
Denver, CO 80237

Naperville

1700 Park Street
Suite 103
Naperville, IL 60563

Seattle

1001 Fourth Ave.
#3200
Seattle, WA 98154