Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Worden (Worden), previously associated with Worden Capital Management LLC, has at least 8 disclosable events. These events include one customer complaint, 7 regulatory events, alleging that Worden recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on July 05, 2023.
Respondent Worden failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.