Have you lost money with financial advisor Christopher G. Orlando, of Worden Capital Management in New York, New York? The Law Firm of Israels & Neuman is looking into allegations made by FINRA against Christopher Orlando. FINRA barred Orlando from the securities industry. FINRA was investigating Orlando regarding allegations that he excessively traded or churned several customer accounts while he was with Worden Capital Management and Legend Securities.
Christopher Orlando was a registered representative of Worden Capital Management from November 2016 to December 2019. He was also with Spartan Capital Securities from January 2020 to May 2021. He has worked at branch offices in New York, New York. Orlando was also the subject of two customer complaints.
Brokerage firms like Worden Capital Management have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
View Christopher Orlando BrokerCheck Report