{"id":9673,"date":"2021-01-22T16:07:22","date_gmt":"2021-01-22T21:07:22","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9673"},"modified":"2021-01-22T16:07:22","modified_gmt":"2021-01-22T21:07:22","slug":"finra-begins-investigation-of-william-athes-for-churning","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-begins-investigation-of-william-athes-for-churning\/","title":{"rendered":"FINRA Begins Investigation Of William Athes For Churning"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-9502 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/11\/FiverRecoverysmall.jpg\" alt=\"William Athes (William Nicholas Athes CRD#: 3165470) is a currently registered broker employed by SW Financial (CRD#: 145012 of Melville, NY.) His previous employers include Worden Capital Management LLC (CRD#:148366), also of Melville, K.C. Ward Financial (CRD#:145135) of Ronkonkoma, NY, and Securities America, Inc. (CRD#:10205) of Port Jefferson, NY. He has been in the industry since 1999.  A client filed a dispute on 5\/4\/2020 alleged that from 5\/2\/2019 to 4\/23\/2020, Athes engaged in unsuitable trading, breach of contract and fiduciary duty, and churning. This claim is pending, and the client requests damages of $84,932.35.  Following this dispute, FINRA began an investigation and issued a preliminary determination on 9\/14\/2020 to recommend disciplinary action against Athes after allegations of churning, unsuitable recommendations, and other similar allegations.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/11\/FiverRecoverysmall.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/11\/FiverRecoverysmall-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>William Athes (William Nicholas Athes CRD#: <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/3165470\" target=\"_blank\">3165470<\/a>) is a currently registered broker employed by SW Financial (CRD#: 145012 of Melville, NY.) His previous employers include Worden Capital Management LLC (CRD#:148366), also of Melville, K.C. Ward Financial (CRD#:145135) of Ronkonkoma, NY, and Securities America, Inc. (CRD#:10205) of Port Jefferson, NY. He has been in the industry since 1999. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-begins-investigation-of-william-athes-for-churning\/#more-9673\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>William Athes (William Nicholas Athes CRD#: 3165470) is a currently registered broker employed by SW Financial (CRD#: 145012 of Melville, NY.) His previous employers include Worden Capital Management LLC (CRD#:148366), also of Melville, K.C. Ward Financial (CRD#:145135) of Ronkonkoma, NY, and Securities America, Inc. (CRD#:10205) of Port Jefferson, NY. He has been in the industry [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[589,580],"tags":[],"class_list":["post-9673","post","type-post","status-publish","format-standard","hentry","category-churning-2","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>FINRA Begins Investigation Of William Athes For Churning &#8212;<\/title>\n<meta name=\"description\" content=\"William Athes (William Nicholas Athes CRD#: 3165470) is a currently registered broker employed by SW Financialof Melville, NY.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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