Tag Archives: David Weisberg

Investors File Arbitration Claim Against Worden Capital Management LLC For Fraud

September 03, 2021  |   Posted by :   |   Excessive Trading, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Investors File Arbitration Claim Against Worden Capital Management LLC For Fraud

David Weisberg of New York New York a stockbroker formerly registered with Worden Capital Management LLC is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $47,629.58 in damages founded on accusations of unsuitability and misrepresentation relating to the customer’s investments in over-the-counter equities between October of 2017 […]

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Worden Capital Stockbroker Sanctioned For Churning

May 12, 2020  |   Posted by :   |   Churning, Excessive Trading   |   Comments Off on Worden Capital Stockbroker Sanctioned For Churning

David Weisberg of New York New York a stockbroker formerly registered with Worden Capital Management LLC has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unsuitable and excessive trades in the account of a Worden Capital Management […]

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