Tag Archives: Worden Capital Management

SW Financial Sued By Investors For Fraud

July 20, 2020  |   Posted by :   |   Boilerroom Sales, Breach of Fiduciary Duty, Churning, Excessive Trading, Securities Arbitration Claims, Securities Fraud   |   Comments Off on SW Financial Sued By Investors For Fraud

Yousuf Saljooki (also known as Joseph Saljooki and as Joe Saljooki) a stockbroker formerly registered with SW Financial (Salomon Whitney Financial) is the subject of a customer initiated investment related arbitration claim in which the customer requested $97,292.27 in compensatory damages and unspecified punitive damages based upon allegations that the customer had been defrauded by […]

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Worden Broker Sanctioned For Failure To Pay Fine

January 10, 2018  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Abed William Lulu, of Melville, New York, a stockbroker formerly registered with Worden Capital Management, was subject of the revocation of Lulu’s securities registration by Financial Industry Regulatory Authority (FINRA) based upon his failure to pay FINRA a $5,000.00 fine relating to a FINRA enforcement action in which Lulu was sanctioned for failing to make […]

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Worden Capital Management Stockbroker Sanctioned

June 19, 2017  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

John Sebastion Cangialosi, of New York, New York, a stockbroker registered with Worden Capital Management, has been sanctioned by The State of Michigan pursuant to a Stipulation and Order for Withdrawal, wherein Cangialosi agreed not to apply in the state for a securities agent or investment advisor designation due to his unethical and deceitful business […]

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JD Nicholas Brokers Charged with Fraud

Donald J. Fowler, of Massapequa, New York, and Gregory T. Dean, of Seaford, New York, both of whom are stockbrokers formerly registered with J.D. Nicholas & Associates, Inc., have been charged by the Securities and Exchange Commission (SEC) in a Complaint alleging that Fowler and Dean excessively traded and fraudulently churned customer accounts, and effected […]

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