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, disclose a recently settled customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 2/2019, FINRA case #19-00424 was filed on behalf of a Worden Capital Management customer from Wisconsin alleging violation of the Wisconsin Uniform Securities Act, negligence and negligent misrepresentation, unsuitability, fraud, churning and excessive trading. In 8/2020 the matter was settled for $65,000.
John Calardo was employed with Four Points Capital Partners from 3/2017-5/2018 . He was previously employed with Worden Capital Management from 11/2016 -3/2017. Before that he was with Legend Securities, Inc. Joseph Gunnar & Co. and Brookstone Securities.
If you have questions about an investment account handled by John Calardo contact us for a no charge consultation to learn about your legal options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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