MICHAEL SALVATORE STANTON 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.
MICHAEL SALVATORE STANTON has worked at WORDEN CAPITAL MANAGEMENT LLC since December 14, 2016
Disclosure History
MICHAEL SALVATORE STANTON has 12 Disclosure Event(s).
Date: January 20, 2006 Category: Customer Dispute Allegations: NON- SPECIFIC ALLEGATIONS (INAPPROPIATE CONDUCT, COERCION) CONCERNING PAYMENT FOR MARGIN CALLS. Damage Amount Requested: $20,883.00 Settlement Amount: $15,000.00 Broker Comment: I VEHEMENTLY DENY THESE ALLEGATIONS. THIS WAS NEVER MY CLIENT. I WAS NEVER GIVEN THE OPPORTUNITY TO RESPOND, AND UNBEKNOWNST TO ME MY FORMER EMPLOYER SETTLED THIS MATTER IN WHICH I DID NOT CONTRIBUTE.
Date: September 07, 2005 Category: Regulatory Initiated By: MONTANA STATE AUDITOR'S OFFICE SECURITIES DEPARTMENT Allegations: FAILURE TO REASONABLY SUPERVISE REPRESENTATIVE GREGG LORENZO Resolution: Consent SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $9,000.00 Sanction Details: REFRAIN FROM APPLYING FOR SECURITIES REGISTRATION IN MONTANA FOR A PERIOD OF ONE YEAR.
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