{"id":6389,"date":"2018-08-13T15:40:28","date_gmt":"2018-08-13T19:40:28","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6389"},"modified":"2018-08-13T15:40:28","modified_gmt":"2018-08-13T19:40:28","slug":"broker-michael-rosalia-subject-of-multiple-judgments-tax-liens","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-michael-rosalia-subject-of-multiple-judgments-tax-liens\/","title":{"rendered":"Broker Michael Rosalia Subject Of Multiple Judgments, Tax Liens"},"content":{"rendered":"

Michael Richard Rosalia (CRD #2323953) is a FINRA broker currently registered with Worden Capital Management LLC (CRD #148366) of Melville, NY. He has been with Worden since 12\/2\/2015. Rosalia\u2019s previous employers include Rockwell Global Capital LLC (CRD #142485), also of Melville, American Capital Partners, LLC (CRD #119249) of Hauppage, NY, and Ladenburg, Thalmann & Co., Inc. (CRD #505) of New York City. He has been in the industry since 1993.<\/p>\n

\"William-Slone\u2019s-45-year-Career-Shows-14-FINRA-Disclosure-Events-300x219\"Rosalia\u2019s FINRA record contains 16 disclosures. The most recent was a customer dispute involving a client and the client\u2019s children, with allegations of churning<\/a>, improper use of margin<\/a>, unsuitability<\/a> and high commissions. The children contacted the firm, claiming to represent the customer. But without a power of attorney, or the presence of the client, neither Rosalia nor anyone else the firm could or would speak with them. Eventually, the client and his children had a conference with the firm\u2019s CEO and attorney. The client and children sought damages of $503,828.39; the firm settled for $150,000 to avoid litigation and other related expenses.<\/p>\n

Two of Rosalia\u2019s disclosures are bankruptcy dismissals from 2013. Eight of the disclosures from 2009 through 2011 are tax lien judgments totaling $219,663.17. Rosalia\u2019s comment in two of these cases indicated he assumed that they had been already reported on his U4.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Michael Richard Rosalia (CRD #2323953) is a FINRA broker currently registered with Worden Capital Management LLC (CRD #148366) of Melville, NY. He has been with Worden since 12\/2\/2015. Rosalia\u2019s previous employers include Rockwell Global Capital LLC (CRD #142485), also of Melville, American Capital Partners, LLC (CRD #119249) of Hauppage, NY, and Ladenburg, Thalmann & Co., […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[589,606,580,581],"tags":[1060,1061,290,824],"class_list":["post-6389","post","type-post","status-publish","format-standard","hentry","category-churning-2","category-margin","category-stockbroker-misconduct","category-unauthorized-trading","tag-michael-rosalia","tag-scott-silver-worden-capital-management-llc","tag-securities-arbitration","tag-worden-capital-management-llc"],"yoast_head":"\nBroker Michael Rosalia Subject Of Multiple Judgments, Tax Liens — Securities Arbitration Lawyers Blog — August 13, 2018<\/title>\n<meta name=\"description\" content=\"Michael Richard Rosalia (CRD #2323953) is a FINRA broker currently registered with Worden Capital Management LLC (CRD #148366) of Melville, NY. He has — August 13, 2018\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/broker-michael-rosalia-subject-of-multiple-judgments-tax-liens\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Broker Michael Rosalia Subject Of Multiple Judgments, Tax Liens — Securities Arbitration Lawyers Blog — August 13, 2018\" \/>\n<meta name=\"twitter:description\" content=\"Michael Richard Rosalia (CRD #2323953) is a FINRA broker currently registered with Worden Capital Management LLC (CRD #148366) of Melville, NY. 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