DID BRUCE COLIN WORTHINGTON CAUSE YOU INVESTMENT LOSSES?
Bruce Worthington Formerly With Founders Financial Securities Has A Customer Complaint For Alleged Broker Misconduct
Who is Bruce Worthington formerly with Founders Financial Securities?
Bruce Worthington (CRD #2193895) who was formerly registered with Founders Financial Securities and located in Middleton, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations.
Bruce Worthington has also been the subject of 2 investigations by the regulators of the securities industry. In 2019, the Massachusetts securities division investigated him in connection with allegations that he misappropriated funds from at least one investor and he consented to a permanent bar, cease-and-desist order, censure, disgorgement and restitution. He was also the subject of a FINRA investigation but failed to respond to the FINRA request for information and, consequently, was permanently barred in any capacity from any further association with any member firm in the securities industry.
Bruce Worthington Customer Complaint
Bruce Worthington has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were Bruce Worthington made certain withdrawals from client accounts to invest in “structured note.” Client believed advisor may have misappropriated the funds. Bruce Worthington’s customer complaint was settled in favor of the investors.
Bruce Worthington Red Flags & Your Rights As An Investor
Of course, Bruce Worthington did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Bruce Worthington at Founders Financial Securities on alert to review carefully the activity and performance of their accounts and question whether Bruce Worthington has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Founders Financial Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At Founders Financial Securities Due To Bruce Worthington
If you have questions about Founders Financial Securities and/or Bruce Worthington and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.