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Sean McCabe Of Network Financial Securities Inc. And Formerly With Worden Capital Management LLC Has 8 Customer Complaints For Alleged Broker Misconduct

Who is Sean McCabe of Network Financial Securities Inc.?

Sean McCabe

Sean McCabe (CRD #5479643) who is currently registered as a broker with Network Financial Securities Inc. and located in Hauppauge, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Network Financial Securities Inc., Sean McCabe was associated with Worden Capital Management LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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or, give us a ring at (800) 732-2889.

Sean McCabe Customer Complaints

Sean McCabe has been the subject of 8 customer complaints that we know about seeking to recover investment losses. Six of the customer complaints were settled by Sean McCabe’s former employers in favor of the investors. One customer complaint was denied by 4 Point’s Capital Partners in the investor took no further action. There is currently one FINRA arbitration proceeding that is still pending against Network 1 Financial Securities for Sean McCabe’s alleged misconduct.

Allegations Against Sean McCabe

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

  • Unsuitability, fraud, and breach of fiduciary duty related to stock investments.
  • Inappropriate transactions are not in the best interests of the customer.
  • Suitability, negligent misrepresentation, and breach of fiduciary duty.
  • Excessive trading, unauthorized trading, misrepresentation, negligence, and breach of fiduciary duty.
  • Breach of fiduciary duty, negligent misrepresentation, and negligence.
  • Statutory and common-law flawed, negligence, and breach of fiduciary duty related to unsuitable recommendations.
  • 54 customers in a single arbitration proceeding alleged that Worden Capital Management and its advisor engaged in excessive trading, unsuitable transactions, there were in breach of their fiduciary duties.

Sean McCabe Red Flags & Your Rights As An Investor

Of course, Sean McCabe 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 Sean McCabe at Network Financial Securities Inc. and Worden Capital Management LLC on alert to review carefully the activity and performance of their accounts and question whether Sean McCabe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Network Financial Securities Inc. and Worden Capital Management LLC 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.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Network Financial Securities Inc. Due To Sean McCabe

If you have questions about Network Financial Securities Inc., Worden Capital Management LLC and/or Sean McCabe 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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