DID JAMIE JOHN WORDEN CAUSE YOU INVESTMENT LOSSES?
Jamie Worden Of Worden Capital Management LLC Has 18 Customer Complaints For Alleged Broker Misconduct
Who is Jamie Worden formerly with Worden Capital Management LLC?
Jamie Worden (CRD #4637404) who was formerly registered with Worden Capital Management LLC and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Worden Capital Management LLC, Jamie Worden was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Jamie Worden has had his own share of regulatory problems. In fact, there is 7 reported regulatory disciplinary matters that we are aware of from reviewing his BrokerCheck report. At one point he was suspended for failing to pay an arbitration award. Later he refused to cooperate with FINRA in one of its investigations was permanently barred from any further association with any FINRA member firm in any capacity. There are several state regulatory matters reported as well.
Jamie Worden Customer Complaints
Jamie Worden has been the subject of 18 customer complaints that we know about to recover investment losses. There are 5 arbitration awards ruling in favor of the multiple investors. There are 4 reported settlements in favor of investors. Nine arbitration claims remained pending.
Allegations Against Jamie Worden
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- There were multiple arbitration proceedings alleging churning in violation of FINRA rules and Federal securities laws that resulted in the arbitration awards.
- Breach of fiduciary duty negligence in violation of the Alabama securities act.
- Failure to supervise an negligent supervision.
Jamie Worden Red Flags & Your Rights As An Investor
Of course, Jamie Worden did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jamie Worden at Worden Capital Management LLC on alert to review carefully the activity and performance of their accounts and question whether Jamie Worden has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Worden Capital Management LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At Worden Capital Management LLC Due To Jamie Worden
If you have questions about Worden Capital Management LLC and/or Jamie Worden and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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