Tag Archives: Chams Khwaja

FINRA Bars Worden Capital Stockbroker In Investigation

August 27, 2020  |   Posted by :   |   Boilerroom Sales, Selling Away and Outside Activities   |   Comments Off on FINRA Bars Worden Capital Stockbroker In Investigation

Chams Khwaja (also known as Sean Khwaja) of Melville New York a stockbroker formerly registered with Worden Capital Management LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Default Decision containing findings that Khwaja declined to cooperate with FINRA’s investigation into allegations of his […]

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Worden Capital Stockbroker Barred In Investigation

April 23, 2020  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Worden Capital Stockbroker Barred In Investigation

Chams Khwaja (also known as Sean Khwaja) of Melville New York a stockbroker formerly registered with Worden Capital Management LLC has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that he failed to comply with a FINRA investigation into allegations of his unapproved outside business activities. Department of Enforcement v. Chams […]

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