Jason Andrew Wilk

Jason Andrew Wilk is currently employed as a Broker and/or Investment Adviser at WORDEN CAPITAL MANAGEMENT LLC located at 40 Wall Street, Floor 7, New York, NY, 10005.

Jason Andrew Wilk has worked at WORDEN CAPITAL MANAGEMENT LLC since October 20, 2017

Disclosure History

Jason Andrew Wilk has 5 Disclosure Event(s).

Date: September 30, 2016
Category: Customer Dispute
Allegations: Suitability
Settlement Amount: $15,000.00

Date: July 20, 2016
Category: Customer Dispute
Allegations: Suitability Unauthorized trading
Settlement Amount: $15,000.00

Date: June 20, 2016
Category: Customer Dispute
Allegations: Unauthorized trading unsuitable
Damage Amount Requested: $400,000.00
Settlement Amount: $14,999.99

Date: June 16, 2016
Category: Customer Dispute
Allegations: Unauthorized Trading
Settlement Amount: $22,500.00

Date: January 08, 2016
Category: Customer Dispute
Allegations: UNSUITABILITY, UNAUTHORIZED TRANSACTIONS, BREACH OF FIDUCIARY DUTY
Damage Amount Requested: $53,532.00
Settlement Amount: $10,000.00 15-03305

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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