Articles Tagged with Worden Capital Management LLC

Broker Mark Kolta in Worden Capital Management LLC Firm Has Customer Complaint

November 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Kolta (Kolta), previously associated with Worden Capital Management LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kolta 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 $1,500,000.00 on June 27, 2022.

Alleges overconcentration and unsuitable investment in American Realty Capital New York City (ARC NYC)

Broker Jamie Worden in Worden Capital Management LLC Firm Has Customer Complaint

August 28, 2025 | by Staff Attorney

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.