Articles Tagged with Jaime Worden

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FINRA has suspended Jason Collichio from associating with any FINRA member in any principal capacity for three months. Mr. Collichio has been registered with Worden Capital Management LLC (“WCM”) in Garden City, New York, since 2009. He has been registered as a principal with the firm since 2012. Mr. Collichio initially registered with FINRA in 2003.

Iorio Altamirano LLP is currently investigating claims on behalf of WCM customers after the firm was sanctioned more than $1.5 million by FINRA, including restitution, for making unsuitable recommendations and excessively trading customers’ accounts. A FINRA restitution order does not preclude investors from pursuing their own claims to seek restitution or other available remedies. Investors harmed by WCM’s supervisory failures may have a claim against the firm. You can read more about it here.

If you have lost money with WCM, contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential review of your account.

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Iorio Altamirano LLP is investigating claims on behalf of Worden Capital Management LLC (“WCM”) customers after the firm was sanctioned more than $1.5 million by FINRA for making unsuitable recommendations and excessively trading customers’ accounts. If you have lost money with WCM, contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

WCM and FINRA entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) over allegations that between January 2015 and October 2019, WCM and its owner and CEO, Jaime Worden, violated FINRA rules. Specifically, that WCM and Mr. Worden:

  • Failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA’s suitability rule as it pertains to excessive trading.
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