JAMIE JOHN WORDEN

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/14/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064746501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jamie J. Worden (Respondent) General Securities Principal and General Securities Representative CRD No. 4637404 Pursuant to FINRA Rule 9216, Respondent Jamie J. Worden submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019064746501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/31/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017056432601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Worden Capital Management LLC (Respondent) Member Firm CRD No. 148366 Jamie J. Worden (Respondent) General Securities Principal CRD No. 4637404 Pursuant to FINRA Rule 9216, Respondents Worden Capital Management LLC (WCM) and Jamie J. Worden (Worden) submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing
Reference 2017056432601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4637404

Other names1

Also known as1

Jamie J. Worden

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.