October 2019-Farmington, NY The FINRA records of Praxedes Russi , a financial advisor who currently works for Worden Capital Management and who previously was employed by Salomon Whitney Financial disclose 2…
read moreJuly 2019-New York, NY The FINRA records of Michael Salvatore Stanton, a financial advisor employed by Worden Capital Management disclose 2 regulatory events, 3 prior customer disputes, 1 pending customer dispute, a…
read moreJune 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 moreJune 2019 – Melville, NY According to publicly available records, Ahmad Wares, a financial advisor previously with Laidlaw & Company discloses 1 pending and 9 prior customer disputes, and a…
read moreAugust 2018-Melville, New York According to FINRA records, Stephen J. Sullivan, a stockbroker who currently works for SW Financial (formerly Salomon Whitney Financial) , discloses a prior regulatory event, a pending customer dispute, a…
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 more