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Recent Complaints Against Ex-NYC Worden Rep Gregory Bodkin
Gregory Bodkin (CRD# 3008389), previously a stockbroker registered with Worden Capital Management, has received several pending customer complaints. Financial Industry Regulatory Authority records reveal that the former New York City representative is no longer registered as a broker.
Mr. Bodkin’s FINRA BrokerCheck report shows five pending complaints filed against him in 2021 and 2021. All of the complaints detail allegations concerning his conduct as a representative of Worden Capital Management. Their allegations include supervisory failures and negligent supervision connected to investments in over-the-counter equities and listed equities. The pending complaints allege more than $2.17 million in aggregate damages. Several of them contain a comment stating that Mr. Bodkin “was named in this matter solely because his name appears on the public Form BD, in an attempt to leverage a settlement” and that he “had no direct supervisory oversight of the registered representative (also named in the action).”
Records also show a complaint against Mr. Bodkin that resolved in a settlement with the customer. The complaint was filed in 2018. It alleged that while he was at Worden Capital Management, he failed in his supervisory obligations concerning investments in OTC and listed equity products. The complaint reached a 2019 settlement of $4,800. Mr. Bodkin’s comment on the record states that he had no direct supervisory oversight of a representative also named in the complaint, nor the client’s account.
According to the Financial Industry Regulatory Authority, Gregory Bodkin holds nine years of securities industry experience. He is currently not registered as a broker. His registration history includes Worden Capital Management in New York City, IDB Capital Corp. in New York City, and Henley & Company in Uniondale, New York. He has passed the Uniform Investment Adviser Law Examination, the Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Research Analyst Exam – Part II Regulations Module, the Municipal Securities Principal Examination, the Registered Options Principal Examination, and the General Securities Principal Examination. He does not currently hold any state licenses. (Information current as of November 12, 2021.)