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Category: Excessive Trading

Worden Capital Jason Wilk Investor Alert: Ex-Broker Barred by FINRA

  • March 14, 2022
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Aegis Capital’s Joseph LaScala Excessively Traded Customer Account

  • January 25, 2022
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FINRA Accuses William Athas, Former Worden Capital and K.C. Ward Financial Broker, of Excessive Trading in Customer Accounts

  • January 20, 2022
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Recover John LoPinto Worden Capital Investment Losses

  • January 14, 2022
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Michael May Investment Losses? National Investor Fraud Law Firm KlaymanToskes Investigates Former Joseph Stone Broker Suspended by FINRA for Excessive Trading

  • November 30, 2021
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Leonard Joseph Marzocco Woodstock Financial Investor Alert: Former Nesconset, New York Broker Suspended Again for Excessive Trading

  • November 29, 2021
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AEGIS CAPITAL INVESTOR ALERT: National Investor Fraud Law Firm KlaymanToskes Investigates Aegis Capital after FINRA Sanctions Aegis Capital and its Melville Branch Manager For Supervisory Violations Costing Investors Millions

  • November 16, 2021
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Daniel O’Neill Aegis Capital Investor Alert: FINRA Accuses Former Broker of Excessive, Unsuitable Trading

  • October 12, 2021
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Lee Nordstrom Vorphal Wing Securities Investor Alert: FINRA Bars Broker Investigated for Excessive Trading

  • October 11, 2021
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Joseph Todaro Worden Capital Investor Alert: Customer Files Dispute Alleging Excessive Trading Against Melville, New York Broker

  • September 27, 2021
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ATTENTION STEPHEN SULLIVAN SPARTAN CAPITAL SECURITIES CUSTOMERS: KlaymanToskes Investigates Broker in Light of Pending FINRA Investigation of Churning, Unsuitable Recommendations

  • September 16, 2021
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Former Aegis Capital Broker Douglas Szempruch Under KlaymanToskes Investigation

  • July 21, 2021
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Adam Belardino, Ex-MML Investors Services Rep., Named In FINRA Complaint

  • July 19, 2021
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Stanford Law School Cornerstone Research Report Released with New Developments for IPOs and SPACs

  • February 05, 2021
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FINRA Orders Worden Capital Management LLC to Pay More than $1.2 Million in Restitution to Customers Whose Accounts Were Excessively Traded and Fined $350,000 for Failing to Reasonably Supervise Recommended Securities Transactions and Other Violations

  • January 04, 2021
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