{"id":21667,"date":"2022-03-04T14:34:38","date_gmt":"2022-03-04T20:34:38","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=21667"},"modified":"2022-03-09T15:58:04","modified_gmt":"2022-03-09T21:58:04","slug":"worden-capital-broker-excessive-trading","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/worden-capital-broker-excessive-trading\/","title":{"rendered":"Ex-Worden Capital Broker William Athas Accused of Excessive Trading That Cost Customers $1.1M"},"content":{"rendered":"<h2><span style=\"font-weight: 400;\">Ex-NY Worden Capital Broker Barred After Allegedly Charging $1.6M in Commissions<\/span><\/h2>\n<p><span style=\"font-weight: 400;\">The Financial Industry Regulatory Authority (FINRA) has barred ex-Worden Capital Management and former SW Financial registered representative, William Nicholas Athas. This bar comes in the wake of allegations that he engaged in <\/span><a href=\"https:\/\/www.investorlawyers.com\/churning.html\"><span style=\"font-weight: 400;\">excessive trading<\/span><\/a><span style=\"font-weight: 400;\"> in customer accounts.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">According to the self-regulatory organization\u2019s (SRO\u2019s) complaint, Athas controlled the trading in these accounts, deciding the frequency and volume of trades. He also allegedly made the calls regarding which securities to purchase and sell, as well as the quantity and timing of each transaction. William Athas\u2019 customers usually would go by his recommendations.<\/span><\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/worden-capital-broker-excessive-trading\/\"  title=\"Continue Reading Ex-Worden Capital Broker William Athas Accused of Excessive Trading That Cost Customers $1.1M\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Ex-NY Worden Capital Broker Barred After Allegedly Charging $1.6M in Commissions The Financial Industry Regulatory Authority (FINRA) has barred ex-Worden Capital Management and former SW Financial registered representative, William Nicholas Athas. This bar comes in the wake of allegations that he engaged in excessive trading in customer accounts.\u00a0 According to the self-regulatory organization\u2019s (SRO\u2019s) complaint, [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":21668,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3775,4575],"tags":[2659,2876,4707,4706],"class_list":["post-21667","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-churning","category-worden-capital-management","tag-churning","tag-excessive-trading","tag-william-athas","tag-worden-capital"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Ex-Worden Capital Broker Cost Customers $1.1M in Excessive Trading<\/title>\n<meta name=\"description\" content=\"William Athas, an ex-Worden Capital broker, is accused of excessive trading which caused investors to lose over $1.1M. Learn more.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/worden-capital-broker-excessive-trading\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Ex-Worden Capital Broker Cost Customers $1.1M in Excessive Trading\" \/>\n<meta name=\"twitter:description\" content=\"William Athas, an ex-Worden Capital broker, is accused of excessive trading which caused investors to lose over $1.1M. 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