Joseph F. Valdini Investigation March 2022-Melville, New York The FINRA records of Joseph F. Valdini , a former stock broker who was last employed in the industry by Aegis Capital Corp. , disclose a regulatory matter,…
read moreSeptember 2021-Rockville Centre , New York The FINRA records of Donald J. Fowler , a previously registered stock broker was last employed by Worden Capital Management, disclose 13 prior finalized customer disputes , 2 pending…
read moreJanuary 2020 – Garden City, NY The FINRA records of Douglas Lee , a stockbroker who was last employed by Worden Capital Management , disclose a pending customer dispute and 3 prior customer disputes. The…
read moreJanuary 2020 -Garden City, NY The FINRA records of Wesley S. Wallace , a stockbroker who was last employed by Worden Capital Management , disclose 2 prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…
read moreNovember 2019 – Garden City, NY The FINRA records of Douglas Lee , a stockbroker who was last employed by Worden Capital Management , disclose a pending customer dispute and 3 prior customer disputes. The…
read moreSeptember 2019, Melville, NY According to publicly available records Robert Paul Solow (CRD# 4532161) , a stockbroker who is not not registered and who last worked for Joseph Gunnar & Co.…
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 moreAugust 2019 Update-Gregory Dean was barred from the securities industry for churning customer accounts. See this for more details. MAY 2018 UPDATE–See this for update on pending customer disputes. ORIGINAL…
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 more- 1
- 2