DID WILLIAM NICHOLAS ATHAS CAUSE YOU INVESTMENT LOSSES?

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 (CRD #3165470)

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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 pra