January 2020- Rockville Center, NY
According to publicly available records Jason Paul Callichio (CRD#4727199) , a stockbroker currently registered with Worden Capital Management discloses a settled customer dispute and a pending 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 5/2018 a customer of Worden Capital Management filed FINRA case #18-01779 alleging negligence, breach of fiduciary duty, failure to supervise, breach of regulatory requirements, churning and breach of contract in relation to the suitability of certain investments recommended by Collichio. The case was settled in 4/2019 for $29,999.
In 7/2019, a customerof Worden Capital Managment filed FINRA case #19-01580 alleging negligence, unsuitability, breach of fiduciary duty, breach of contract, negligent misrepresentation and omissions. This is a multi-customer action involving 11 clients and 12 registered representatives. Total damages sought are $559,293. The amount of $42,358 is attributed to Callichio.
Callichio has been employed with Worden Capital Management since 3/2009.
If you have questions about an investment account handled by Jason Paul Callicho 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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