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William Athas Formerly With SW Financial and Worden Capital Management LLC Has 9 Customer Complaints For Alleged Broker Misconduct

Who is William Athas formerly with SW Financial?

William Athas

William Athas (CRD #3165470) who was formerly registered with SW Financial and located in Melville, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to SW Financial, William Athas 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. William Athas has had his own share of regulatory problems. In 2022 he was permanently barred for violations of the Federal securities laws related to the trading in customer’s accounts.

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William Athas Customer Complaints

William Athas has been the subject of 9 customer complaints that we know about to recover investment losses. Six of the customer complaints were settled by William Athas’ former employers KC Ward Financial or Liberty Partners Financial Services in favor of the investors. Two of the customer complaints were denied and no further action was taken. There is currently one FINRA arbitration proceeding pending against Worden Capital Management for William Athas’ alleged misconduct.

Allegations Against William Athas

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

  • Unsuitable trading, common law fraud, churning, and breach of fiduciary duty.
  • Losses due to margin trading.
  • Failure to place a stop order.
  • Unauthorized trading.
  • Unsuitable investment recommendations.
  • Churning.
  • Excessive trading.

William Athas Red Flags & Your Rights As An Investor

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

Did You Lose Money Because of Broker Misconduct?

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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 SW Financial Due To William Athas

If you have questions about SW Financial, Worden Capital Management LLC and/or William Athas 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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