DID JOSEPH FRANCIS VALDINI CAUSE YOU INVESTMENT LOSSES?
Joseph Valdini Formerly With Aegis Capital And Worden Capital Management Has 3 Customer Complaints For Alleged Broker Misconduct
Who is Joseph Valdini formerly with Aegis Capital?
Joseph Valdini (CRD #5517610) who was formerly registered with Aegis Capitaland located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Joseph Valdini was associated with Worden Capital Management and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems
Joseph Valdini Customer Complaints
Joseph Valdini has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Joseph Valdini’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Worden Capital Management for investment losses caused by Joseph Valdini’s alleged misconduct.
Allegations Against Joseph Valdini
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Churning/excessive trading; common law fraud; NY Consumer Protection Act violations; breach of fiduciary duty; breach of contract; negligence, negligent misrepresentation and omissions; and negligent supervision allegedly by Joseph Valdini.
- Joseph Valdini’s alleged Negligence, Violations of the New Jersey Uniform Securities Law, Breach of Fiduciary Duty, Breach of Contract, Respondeat Superior.
- Unauthorized trade placed, with subsequent margin call sellouts, resulting in loss to the client allegedly made by Joseph Valdini.
Joseph Valdini Red Flags & Your Rights As An Investor
Of course, Joseph Valdini 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 Joseph Valdini at Aegis Capital and Worden Capital Management on alert to review carefully the activity and performance of their accounts and question whether Joseph Valdini has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital and Worden Capital Management also raises questions about the brokerage firms’ 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 Aegis Capital Due To Joseph Valdini
If you have questions about Aegis Capital, Worden Capital Management, and/or Joseph Valdini and the management or performance of your accounts, please contact 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.