Investment Fraud Lawyers Investigating William Athas at Worden Capital

A Financial Industry Regulatory Authority (FINRA) complaint has been filed against William Athas, formerly a broker with Worden Capital and K.C. Ward Financial, in January 2022. The complaint is for excessive trading in nine accounts of seven different customers between December 2014 and April 2020, while working with the two firms named above. What is excessive …

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source https://financialadvisorcomplaints.com/william-athas-at-worden-capital/

Paul McGonigle LPL Advisor Faces 37 Years in Jail and $1M in Fines for Elderly Fraud

According to information provided by the Department of Justice, Paul McGonigle, formerly an advisor with LPL Financial, stands charged in a superseding indictment and could face a prison sentence of up to 37 years. He is accused of defrauding elderly clients and stealing from their retirement nest egg. He has been charged with two counts …

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source https://financialadvisorcomplaints.com/paul-mcgonigle-lpl-advisor-faces-37-years-in-jail-and-1m-in-fines-for-elderly-fraud/