Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Borgner (Borgner), previously associated with Worden Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Borgner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $653,700.00 on July 07, 2021.
Failure to supervise and negligent supervision; August 2017 to December 2019.