2019064746502 Worden Capital Management LLC CRD 148366 OHO Decision jlg (2022-1659054022975).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
OFFICE OF HEARING OFFICERS
DEPARTMENT OF ENFORCEMENT,
Complainant,
v.
WORDEN CAPITAL MANAGEMENT LLC
(CRD No. 148366),
Respondent.
Disciplinary Proceeding
No. 2019064746502
Hearing Officer–MC
DEFAULT DECISION
June 27, 2022
Respondent Worden Capital Management LLC is expelled from FINRA and
ordered to disgorge ill-gotten gains for fraudulently omitting material
information in connection with the sales of securities, failing to fulfill its
supervisory responsibilities in the sale of securities,