Articles Posted in Margin

Broker Spotlight: Philip Connors of Worden Capital Management Llc – New York, Ny
Iorio Law PLLC

Philip Connors is a stockbroker with Worden Capital Management LLC (“Worden Capital Management”) in New York, New York. Mr. Connors has a history of customer disputes and a past association with a disreputable brokerage firm that has been expelled by FINRA. If you have lost money with broker Philip Connors or Worden Capital Management, contact…

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Coastal Equities, Inc. Censured by Finra and Ordered to Pay Over $280,000 in Restitution and Interest to Customers – Dublin, Ohio
Iorio Law PLLC

FINRA has sanctioned Coastal Equities, Inc. for its failure to reasonably supervise a stockbroker who recommended excessive and unsuitable trades in the accounts of customers. Coastal Equities, Inc. was censured and ordered to pay $270,320 in restitution to clients, plus $9,589 in interest. FINRA alleged that between October 2016 and July 2018, Coastal Equities, Inc.…

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