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Richard Borgner of Worden Capital Management LLC And Formerly With Salomon Whitney Financial Has 5 Customer Complaints For Alleged Broker Misconduct

Who is Richard Borgner of Worden Capital Management LLC?

Richard Borgner (CRD #1104666) who is currently registered with Worden Capital Management LLC and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Worden Capital Management LLC, Richard Borgner was associated with Salomon Whitney Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Richard Borgner has had his own problems with the regulators. He was investigated and suspended and fined for his actions and/or in actions as a supervisor of EKN Financial Services.

Richard Borgner Customer Complaints

Richard Borgner has been the subject of 5 customer complaints that we know about. One arbitration award was entered against EKN Financial Services for Richard Borgner’s alleged misconduct in failing to supervise stockbrokers who caused investors losses. Three of Richard Borgner’s 5 customer complaints were settled in favor of investors. One of Richard Borgner’s customers’ complaints was denied and the customers did not take any further action.

Allegations Against Richard Borgner

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Richard Borgner’s alleged failure to supervise relating to charges against representative of unsuitability, churning, negligence, breach of fiduciary duty and breach of contract.
  • Richard Borgner’s alleged failure to supervise.

Richard Borgner Red Flags & Your Rights As An Investor

Of course, Richard Borgner 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 Richard Borgner at Worden Capital Management LLC and Salomon Whitney Financial on alert to review carefully the activity and performance of their accounts and question whether Richard Borgner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Worden Capital Management LLC and Salomon Whitney Financial 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 Worden Capital Management LLC Due To Richard Borgner

If you have questions about Worden Capital Management LLC, Salomon Whitney Financial, and/or Richard Borgner 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.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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